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Law Blog Category: Rule 10b-17

SEC Supports FINRA’s Rule 6490 Authority Over Corporate Actions

March 10, 2015 in FINRA, FINRA Compliance, Reverse Split, Rule 10b-17, Rule 6490, Uncategorized

The ECOS Matter; When Is A Reverse Split Effective?

September 30, 2014 in FINRA, FINRA Compliance, OTC Market, Reverse Split, Rule 10b-17, Small Cap Market, Uncategorized

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​Securities Law Blogs

  • Finders – Part 2 January 15, 2021
  • SEC Modernizes Auditor Independence Rules January 8, 2021

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26 Sep
2020
Form S-3 And Baby Shelf Rule
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26 Sep
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Form S-3 And Primary And Secondary Offerings
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26 Sep
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Form S-3 Instructions
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