Broker-DealerDepository Trust Company (DTC)Due DiligenceFINRAGoing PublicReverse MergersSEC Rule 15c2-11 Market Makers Rely on Due Diligence in Reverse Mergers Laura Anthony, Esq.October 3, 2009 Learn how to quickly and effectively complete the due diligence process for reverse mergers. Florida securities attorney Laura Antho... 048300
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... 045100
CrowdfundingJOBS ACTJOBS ACT and CrowdfundingPrivate PlacementReverse MergersSecurities Attorneys Crowdfunding Timing and Investor Protections Laura Anthony, Esq.April 20, 2012 On April 5, 2012 President Obama signed the JOBS Act into law. Some of the rules went into effect immediately, such as the ability... 044700
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... 043800
CrowdfundingJOBS ACTRegulation DReverse MergersSarbanes-Oxley Act of 2002SEC GuidanceSecurities AttorneysUncategorized Crowdfunding Act Signed Into Law Laura Anthony, Esq.April 16, 2012 On April 5, 2012 President Obama signed the JOBS Act into law. In accordance with the JOBS Act requirement that all crowdfunding pl... 042500
Reverse MergersSEC Guidance Section 3(a)(9) Exchanges Evaluated Laura Anthony, Esq.December 11, 2009 Section 3(a)(9) of the Securities Act of 1933, provides an exemption from the registration requirements for “[E]xcept with respect t... 042000
Private PlacementRegulation DReverse MergersSection 4(2) Basic Refresher On The Private Placement Exemption Laura Anthony, Esq.February 14, 2011 Section 4(2) of the Securities Act of 1933, as Amended (“Securities Act”) provides the statutory basis for private placement offerin... 040800
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... 040100
CrowdfundingJOBS ACTJOBS ACT and CrowdfundingRegulation AReverse MergersRule 504Rule 506Securities Attorneys The JOBS Act Is Not Just Crowdfunding Laura Anthony, Esq.April 17, 2012 On April 5, 2012 President Obama signed the JOBS Act into law. In my excitement over this ground-breaking new law, I have been zeal... 039200
Form 10JOBS ACTJOBS ACT and CrowdfundingReverse MergersSEC GuidanceSecurities Attorneys SEC Issues Guidance on Registration and Deregistration Under Jobs Act Laura Anthony, Esq.April 18, 2012 On April 5, 2012 President Obama signed the JOBS Act into law. Some of the rules went into effect immediately, such as the ability... 038700