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Home Archive by Category "Rule 144" (Page 3)

Rule 144

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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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15c2-11 Application DTC Chill DTC Eligibility FINRA Form 10 Going Public Private Placement Rule 144 Rule 419 SEC Rule 15c2-11 Small 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...

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Form 10-K Form 10-Q Form 8-K Regulation S-K Rule 144 Schedule 13D Schedule 13G Schedule 14A SEC SEC Advisory Committee Section 16 Uncategorized

SEC Small Business Advisory Committee Public Company Disclosure Recommendations

Laura Anthony, Esq.

October 27, 2015

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FINRA Form 10 Form 8-K Form S-1 JOBS ACT Public Shell Company Rule 144 S-1 Registration Statement SEC Rule 15c2-11 Securities Attorneys

SEC Files Proceedings Against 19 S-1 Companies and Suspends Trading on 255 Shell Companies

Laura Anthony, Esq.

February 4, 2014

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NASDAQ OTC Market OTC Markets Listing Requirements OTCQX OTCQX Listing Requirements Regulation D Regulation FD Rule 144 SEC

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...

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Rule 144 Rule 144 Legal Opinions Rule 144 Opinion Letters Rule 144A Section 3(a)(9)Securities Attorneys

A Basic Overview of Rule 144

Laura Anthony, Esq.

February 11, 2014

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Form 10 Form 10-K Form 10-Q Form 8-K Regulation S-K Rule 144 Rule 144A Schedule 14C Smaller Reporting Company Uncategorized

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

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Private Investment in Public Equity (PIPE)Public Shell Company Rule 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...

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Form 10 Rule 144 Rule 145 Section 5 Securities Attorneys Spin-Off

How to Complete an Unregistered Spin-Off

Laura Anthony, Esq.

October 22, 2013

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Depository Trust Company (DTC)DTC Chill DTC Eligibility DTC Global Locks Global Lock Rule 144 Securities Attorneys White 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

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