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Home Archive by Category "JOBS ACT"

JOBS ACT

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Emerging Growth Company (EGC)IPO JOBS ACT Smaller Reporting Company The FAST Act

Emerging Growth Companies Will Start To Grow Up

Laura Anthony, Esq.

November 7, 2017

The first of emerging growth companies (“EGC’s”) will begin losing EGC status as the five-year anniversary of the creation of an EGC...

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Blue Sky Laws C&DI Form 1-A JOBS ACT Regulation A Regulation A+Rule 506 Test The Waters

Testing The Waters; Regulation A+ And S-1 Public Offerings – Part 1

Laura Anthony, Esq.

July 19, 2016

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Direct Public Offering (DPO)Free Writing Prospectus Gun Jumping IPO JOBS ACT Rule 134 Rule 135 Safe Harbors Section 5 Securities Attorneys Small Cap Market Uncategorized

Corporate Communications During the Public Offering Process; Avoid Gun Jumping

Laura Anthony, Esq.

August 12, 2014

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Broker Dealer Registration Requirements Broker-Dealer Going Public JOBS ACT JOBS ACT and Crowdfunding Rule 144 Rule 506 Section 12 Securities Attorneys Uncategorized

The SEC Establishes Key Exemption to the Broker-Dealer Registration Requirements for M&A Brokers

Laura Anthony, Esq.

February 18, 2014

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JOBS ACT JOBS ACT and Crowdfunding Regulation D Regulation D Offerings Rule 144A Rule 506 Uncategorized

SEC Issues Guidance On General Solicitation And Advertising In Regulation D Offerings

Laura Anthony, Esq.

September 1, 2015

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Form S-1 Free Writing Prospectus JOBS ACT Post- Filing Period Pre-Effectiveness Period Pre-Filing Period Regulation A Regulation A+Rule 134 Rule 135 SEC Section 5 Smaller Reporting Company Test The Waters

Testing The Waters; Regulation A+ And S-1 Public Offerings – Part 2

Laura Anthony, Esq.

July 26, 2016

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C&DI JOBS ACT JOBS ACT and Crowdfunding Section 15(d)The FAST Act Uncategorized

The SEC Issues Guidance On The FAST Act As It Relates To Savings And Loan Companies

Laura Anthony, Esq.

January 19, 2016

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Dodd-Frank Act Form 8-K JOBS ACT Proxy Statement SEC Schedule 14A Small Cap Market Smaller Reporting Company Uncategorized

Say-On-Pay for Smaller Reporting Companies

Laura Anthony, Esq.

May 6, 2014

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15c2-11 Application Crowdfunding FINRA JOBS ACT OTC Market Public Shell Company Reverse Mergers SEC Guidance SEC Rule 15c2-11 Securities Attorneys Uncategorized

SEC Suspends Trading for Record Number of Shell Companies

Laura Anthony, Esq.

May 14, 2012

The Securities and Exchange Commission (SEC) today suspended the trading in 379 dormant shell companies. This is the most trading s...

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FINRA JOBS ACT JOBS ACT and Crowdfunding Private Placement Rule 506 Securities Attorneys

New FINRA Rule 5123 Takes Effect Requiring Notice of Private Placements by Member Firms

Laura Anthony, Esq.

December 5, 2012

The Financial Industry Regulatory Authority has adopted new Rule 5123 requiring members to file notice of their participation in pri...

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