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Home Archive by Category "Rule 144" (Page 2)

Rule 144

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ALL A B C D E F G H I J K L M N O P Q R S T U V W X Y Z

Direct Public Offering (DPO)DTC Chill DTC Eligibility FINRA Form S-1 Going Public Going Public Attorneys IPO LawCast Network NASDAQ NASDAQ Listing Requirements NYSE MKT NYSE MKT Listing Requirements OTC Market OTC Markets Listing Requirements Reverse Mergers Rule 144 SEC Uncategorized

Going Public Transactions For Smaller Companies: Direct Public Offering And Reverse Merger

Laura Anthony, Esq.

June 30, 2015

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Pinksheets Public Shell Company Reverse Mergers Rule 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...

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Blank Check Companies Direct Public Offering (DPO)Form 10 Form S-1 OTC Market Public Shell Company Rule 144 Rule 419 S-1 Registration Statement SEC Guidance Small Cap Market Uncategorized

Direct Public Offerings by Shell Companies- Tread Carefully

Laura Anthony, Esq.

July 29, 2014

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Form 8-K OTCBB Rule 144 Section 15(d)Section 3(a)(10)Small Cap Market Uncategorized

The Sale of Unregistered Securities Must Satisfy Form 8-K Filing Requirements In a 3(a)(10) Transaction

Laura Anthony, Esq.

August 5, 2014

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Form 10 Going Public Reverse Mergers Rule 144 Section 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...

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Concurrent Private and Public Offerings Corporate Law Gun Jumping Private Placement Regulation D Rule 144 S-1 Registration Statement Safe Harbors Section 4(2)Section 4(a)(2)Securities Attorneys Uncategorized

Concurrent Public and Private Offerings

Laura Anthony, Esq.

April 8, 2014

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FINRA NASAA OTC Market Rule 144 Rule 147 Rule 147A Rule 504 Rule 506 SEC SEC Advisory Committee Small Business Capital Formation

Recommendations Of SEC Government-Business Forum On Small Business Capital Formation

Laura Anthony, Esq.

May 23, 2017

In early April, the SEC Office of Small Business Policy published the 2016 Final Report on the SEC Government-Business Forum on Smal...

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OTCBB Rule 144 Rule 145 Section 5 Spin-Off Uncategorized

Five Essential Conditions for Unregistered Spin-Offs

Laura Anthony, Esq.

October 28, 2009

A spin-off occurs when a parent company distributes shares of a subsidiary to the parent company’s shareholders such that the subsid...

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Blank Check Companies FINRA Form 10 Form 8-K Public Shell Company Rule 144 Rule 419 S-1 Registration Statement SEC Guidance Securities Attorneys

SEC has Modified Policies on Offerings by Shell Companies

Laura Anthony, Esq.

October 1, 2013

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Regulation D Regulation S Reverse Mergers Rule 144 Section 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...

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