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Going Public Transactions For Smaller Companies: Direct Public Offering And Reverse Merger

SEC Has Approved A Two-Year Tick Size Pilot Program For Smaller Public Companies

SEC Proposes Broadening Of Broker-Dealer Registration Rules To Include Proprietary And High-Frequency Traders

The New FINRA Broker Background Check Rule

SEC Supports FINRA’s Rule 6490 Authority Over Corporate Actions

October 28, 2014

FINRA Seeks to Eliminate the OTCBB and Impose Regulations on the OTC Markets

September 30, 2014

The ECOS Matter; When Is A Reverse Split Effective?

FINRA Amends Rules 5110 and 5121 Related to Corporate Financing and Conflicts Of Interest

What is A CUSIP and Legal Entity Identifier (LEI) Number?

Crowdfunding Using Intrastate Offerings and Rule 147 – Is Florida Next?