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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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Penny Stocks Risk Alert Rule 144 Section 4(a)(4)Section 5 Uncategorized

Depositing Penny Stocks with Brokers Creates Obstacles; SEC Charges E*Trade with Section 5 Violation

Laura Anthony, Esq.

October 14, 2014

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Regulation M Regulation SHO Rule 144 Uncategorized

SEC Filed Actions Against 19 Firms and One Individual Trader for Violation of Rule 105 of Regulation M

Laura Anthony, Esq.

September 23, 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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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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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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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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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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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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Public Shell Company Reverse Mergers Rule 144 Rule 145 Section 3(a)(10)Securities Attorneys

Section 3(a)(10) Debt Conversions in a Shell Company Pre-Reverse Merger

Laura Anthony, Esq.

July 2, 2013

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