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... 047500
15c2-11 ApplicationDTC ChillDTC EligibilityFINRAForm 10Going PublicPrivate PlacementRule 144Rule 419SEC Rule 15c2-11Small Cap Market Why Rule 419 Companies May Revitalize the Small-Cap Market Laura Anthony, Esq.November 16, 2011 Are Rule 419 Companies poised to be the next big thing in the small-cap sector? Recently, the small-cap and reverse merger market... 046900
Rule 144Rule 144 Legal OpinionsRule 144 Opinion LettersRule 144ASection 3(a)(9)Securities Attorneys A Basic Overview of Rule 144 Laura Anthony, Esq.February 11, 2014 045100
NASDAQOTC MarketOTC Markets Listing RequirementsOTCQXOTCQX Listing RequirementsRegulation DRegulation FDRule 144SEC Changes In India’s Laws Related To Foreign Direct Investments- A U.S. Opportunity; Brief Overview For Foreign Private Issuers Laura Anthony, Esq.November 8, 2016 November 11, 2016 Make Laura Anthony’s Blog Site #1 Click Icon Below and Vote NOW In June 2016, the Indian government announced new rules allowing for... 044900
Form 10-KForm 10-QForm 8-KRegulation S-KRule 144Schedule 13DSchedule 13GSchedule 14ASECSEC Advisory CommitteeSection 16Uncategorized SEC Small Business Advisory Committee Public Company Disclosure Recommendations Laura Anthony, Esq.October 27, 2015 044900
FINRAForm 10Form 8-KForm S-1JOBS ACTPublic Shell CompanyRule 144S-1 Registration StatementSEC Rule 15c2-11Securities Attorneys SEC Files Proceedings Against 19 S-1 Companies and Suspends Trading on 255 Shell Companies Laura Anthony, Esq.February 4, 2014 044400
Private Investment in Public Equity (PIPE)Public Shell CompanyRule 144 Convertible Promissory Notes; Flexible Financing Options Laura Anthony, Esq.August 10, 2011 I have explored the topic of promissory notes in previous articles. This analysis shall specifically concentrate on convertible prom... 044000
Form 10Form 10-KForm 10-QForm 8-KRegulation S-KRule 144Rule 144ASchedule 14CSmaller Reporting CompanyUncategorized Will the Disclosure Modernization and Simplification Act of 2014 Simplify Reporting Requirements for ECG’s and Smaller Reporting Companies? Laura Anthony, Esq.December 23, 2014 043800
Form 10Rule 144Rule 145Section 5Securities AttorneysSpin-Off How to Complete an Unregistered Spin-Off Laura Anthony, Esq.October 22, 2013 042600
Depository Trust Company (DTC)DTC ChillDTC EligibilityDTC Global LocksGlobal LockRule 144Securities AttorneysWhite Paper DTC Unveils Procedures and Plans for a Rule Change that Applies to Issuers Affected By Chills and Locks Laura Anthony, Esq.October 8, 2013 041900