FinCEN Updates Due Diligence Rules
On May 11, 2016, the Financial Crimes Enforcement Network (“FinCEN”) issued new final rules under the Bank Secrecy Act requiring fin...
Home Archive by Category "Due Diligence"
Due Diligence
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Broker-DealerDirect Public Offering (DPO)Due DiligenceFINRAForm 10Funding PortalsGoing PublicGoing Public AttorneysMerger TransactionNASDAQOTC MarketOTCBBOTCQB and OTCQXPrivate Investment in Public Equity (PIPE)Public Shell CompanyReverse MergersRule 144S-1 Registration StatementSEC Rule 15c2-11Securities AttorneysUncategorized
Direct Public Offering or Reverse Merger; Know Your Best Option for Going Public
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DTC Chills, Due Process and Rule 22
Back in October and November of 2011 I wrote a series of blogs regarding DTC eligibility for OTC (over the counter) Issuers. OTC Is...
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DTC Eligibility and the OTC Issuer
This is the first in a series of articles I am writing regarding DTC (Depository Trust Company) eligibility for OTC (Over the Counte...
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Public Company Compliance – Selecting An Auditor
he Sarbanes Oxley Act of 2002 (SOX) created the PCAOB, which is the Public Company Accounting Oversight Board. All public company a...
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Necessity of Background Searches on Officers and Directors as Part of Due Diligence Prior to a Reverse Merger or IPO
Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord...
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Market Makers Rely on Due Diligence in Reverse Mergers
Learn how to quickly and effectively complete the due diligence process for reverse mergers. Florida securities attorney Laura Antho...
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