CrowdfundingJOBS ACTNASDAQReverse MergersSecurities Attorneys NASDAQ Lowers Price Per Share Initial Listing Requirement Laura Anthony, Esq.May 10, 2012 The SEC has approved the recent NASDAQ rule change to lower the minimum bid listing requirement from $4.00 to either $2.00 or $3.00... 027300
Depository Trust Company (DTC)DTC ChillDTC EligibilityReverse MergersS-1 Registration StatementSecurities AttorneysSmall Cap Market Native American Energy Granted Full Eligibility for DTC Services After Four-Year Appeal Laura Anthony, Esq.June 25, 2012 Native American Energy Group (NAGP), an oil and gas exploration company has been granted full eligibility for clearing and settlemen... 046400
Direct Public Offering (DPO)Due DiligenceOTCBBPublic Shell CompanyRegulation S-KReverse Mergers Necessity of Background Searches on Officers and Directors as Part of Due Diligence Prior to a Reverse Merger or IPO Laura Anthony, Esq.October 17, 2009 Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord... 036500
NASDAQNASDAQ Listing RequirementsNYSE MKT Listing RequirementsReverse MergersSEC NYSE MKT Listing Requirements Laura Anthony, Esq.June 14, 2016 December 5, 2016 01.1K00
Due DiligenceNASDAQOTC MarketOTCBBOTCQB and OTCQXReverse MergersSEC GuidanceSmall Cap Market OTCBB Reporting Requirements Enable Successful Reverse Mergers Laura Anthony, Esq.October 5, 2009 039400
Regulation DRegulation SReverse MergersRule 144Section 3(a)(9)Section 5 Overview of Recognized Exemptions From Section 5 Laura Anthony, Esq.January 8, 2010 The Securities Act of 1933 recognizes two broad types of exemptions to the registration requirements of Section 5, exempt securities... 048600
CrowdfundingForm 10-KForm 10-QJOBS ACTJOBS ACT and CrowdfundingRegulation ARegulation A+Regulation DReverse MergersS-1 Registration StatementSecurities Attorneys Regulation A+; A Brief History Laura Anthony, Esq.July 30, 2012 Title IV of the JOBS Act – Small Capital Formation – is quickly being called the new Regulation A+. Title IV of the JOBS Act techni... 030600
Articles of IncorporationDue DiligenceGoing PublicPCAOB AuditingPublic Shell CompanyReverse MergersSection 16 Reverse Mergers Hinge on Due Diligence and Cleaning Up Public Shells Laura Anthony, Esq.October 1, 2009 When a publicly traded company “goes dark” and becomes delinquent in its filing requirements, it generally becomes a public shell an... 036000
PinksheetsPublic Shell CompanyReverse MergersRule 144 Rule 144 and Pink Sheet Shells; Selling Shares Post Merger Laura Anthony, Esq.November 11, 2009 One of the most common inquiries received by securities attorneys today involves Issuers wanting to know when they and their shareho... 074300
Form 10Going PublicReverse MergersRule 144Section 13 Rule 144 and the Evergreen Requirement Examined Laura Anthony, Esq.January 22, 2010 Technically Rule 144 provides a safe harbor from the definition of the term “underwriter” such that a selling shareholder may utiliz... 055700