Emerging Growth Company (EGC)Going PublicIPORegulation ARegulation FDRoad ShowsRule 163 Road Shows Laura Anthony, Esq.May 16, 2017 May 16, 2017 Introduction; Definitions We often hear the words “road show” associated with a securities offering. A road show is simply a series... 01.1K00
Direct Public Offering (DPO)DTC ChillDTC EligibilityFINRAForm S-1Going PublicGoing Public AttorneysIPOLawCast NetworkNASDAQNASDAQ Listing RequirementsNYSE MKTNYSE MKT Listing RequirementsOTC MarketOTC Markets Listing RequirementsReverse MergersRule 144SECUncategorized Going Public Transactions For Smaller Companies: Direct Public Offering And Reverse Merger Laura Anthony, Esq.June 30, 2015 068000
Going PublicInsider TradingSchedule 13DSchedule 13GSection 13Section 16Uncategorized SEC Files Dozens of Charges for Violations of the Section 16 and Section 13 Corporate Insider Reporting Requirements Laura Anthony, Esq.September 15, 2014 052400
Direct Public Offering (DPO)Due DiligenceForm 10Going PublicMerger TransactionMergers And AcquisitionsPublic Shell CompanyReverse MergersReverse Triangular MergerRule 144Securities AttorneysSuper 8-KSuper 8-k Requirements Guide to Reverse Merger Transaction Laura Anthony, Esq.March 18, 2014 01K00
Broker Dealer Registration RequirementsBroker-DealerGoing PublicJOBS ACTJOBS ACT and CrowdfundingRule 144Rule 506Section 12Securities AttorneysUncategorized The SEC Establishes Key Exemption to the Broker-Dealer Registration Requirements for M&A Brokers Laura Anthony, Esq.February 18, 2014 074200
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 Laura Anthony, Esq.January 21, 2014 084600
Going PublicPrivate PlacementPrivate Placement MemorandumSecurities AttorneysUncategorizedVenture Capital Structuring The Private Placement Investment- Development Stage Or Start Up Company Valuation Laura Anthony, Esq.February 26, 2013 033900
15c2-11 ApplicationDTC ChillDTC EligibilityFINRAForm 10Going PublicPrivate PlacementRule 144Rule 419SEC Rule 15c2-11Small Cap Market Why Rule 419 Companies May Revitalize the Small-Cap Market Laura Anthony, Esq.November 16, 2011 Are Rule 419 Companies poised to be the next big thing in the small-cap sector? Recently, the small-cap and reverse merger market... 051100
Direct Public Offering (DPO)Going PublicRegulation DRule 506 Direct Public Offerings And The Internet Laura Anthony, Esq.June 16, 2010 In today’s financial environment, many Issuers are choosing to self underwrite their public offerings, commonly referred to as a Dir... 039500
Form 10Form 8-KGoing PublicRule 144SEC GuidanceSection 13 Form 10 Registration Statements Laura Anthony, Esq.March 19, 2010 A Form 10 Registration Statement is a registration statement used to register a class of securities pursuant to Section 12(g) of the... 038200