An Introduction To Distributed Ledger Technology (Blockchain Technology)
On July 13, 2017, FINRA held a Blockchain Symposium to assess the use of distributed ledger technology (DLT) in the financial indust...
Home Archive by Category "FINRA"
CFIRA Submits Crowdfunding Letter to SEC
The CFIRA (Crowdfund Intermediaries Regulatory Advocates) was established by crowdfunding industry professionals for the purpose of...
0
297
0
0
Comments In Advance To Rule Making On Elimination On Advertising And Solicitation Ban For Certain Private Offerings
Title II of the JOBS Act provides that, within 90 days of the passage of the JOBS Act (i.e. July 5, 2012), the SEC will amend Sectio...
0
358
0
0
COMPREHENSIVE REVIEW OF TITLE I OF THE JOBS ACT AS RELATED TO EMERGING GROWTH COMPANIES
On April 5, 2012, President Obama signed the Jumpstart our Business Startups Act (JOBS Act) into law. The JOBS Act was passed on a...
0
437
0
0
CROWDFUNDING FROM A TO Z
As the expected deadline for the SEC to publish rules and regulations enacting the Crowdfunding Act (Title III of the Jumpstart Our...
0
336
0
0
Crowdfunding Intermediaries-Questions
On April 5, 2012 President Obama signed the JOBS Act into law. Part of the JOBS Act is the Crowdfunding Act, the full title of which...
0
251
0
0
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
0
823
0
0
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...
0
544
0
0
Filing Deadlines for Exchange Act Quarterly and Annual Reports
Companies subject to the reporting requirements of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) are required...
0
1.7K
0
0