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Home Archive by Category "Rule 144" (Page 4)

Rule 144

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

Once Again, DTC Amends Proposed Procedures for Issuers Affected by Chills and Proposes Subsequent Rule Change

Laura Anthony, Esq.

May 13, 2014

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Form 10 Form 10-K Form 10-Q Form 8-K Regulation FD Rule 144 S-1 Registration Statement Schedule 13D Schedule 14C SEC Schedule 14A Securities Attorneys Uncategorized

Public Company SEC Reporting Requirements

Laura Anthony, Esq.

April 15, 2014

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Dodd-Frank Act FINRA Rule 144 SEC Securities Attorney Securities Attorneys The FAST Act Uncategorized

House Passes More Securities Legislation

Laura Anthony, Esq.

March 15, 2016

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408

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SEC Rule 144: Current Public Information and Reporting Requirements

Laura Anthony, Esq.

November 4, 2009

The current public information requirement is measured at the time of each sale of securities. That is, the Issuer, whether reporti...

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FINRA NASAA Regulation A Regulation A+Regulation C Regulation SHO Regulation T Rule 144 Rule 147 Rule 152 Rule 504

The 2017 SEC Government-Business Forum On Small Business Capital Formation Final Report

Laura Anthony, Esq.

June 12, 2018

The SEC has published the final report and recommendations of the 2017 annual Government-Business Forum on Small Business Capital Fo...

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Form D JOBS ACT NASAA Regulation A Regulation A+Regulation D Rule 144 Uncategorized

First Issuer Completes NASAA Coordinated Review For Regulation A Offering

Laura Anthony, Esq.

December 30, 2014

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Depository Trust Company (DTC)DTC Chill DTC Eligibility DTC Global Locks Form 10 Global Lock Rule 144 Securities Attorneys White Paper

DTC Has Published Proposed Rules Related To Chills and Locks

Laura Anthony, Esq.

January 28, 2014

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Crowdfunding FINRA Form D JOBS ACT JOBS ACT and Crowdfunding Regulation S Rule 144 Rule 144A Rule 506 Securities Attorneys

New SEC Rules Have Eliminated the Prohibition Against General Solicitation and Advertising in Rules 506 and 144A Offerings

Laura Anthony, Esq.

July 16, 2013

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Crowdfunding Form 10 Form 10-Q JOBS ACT Regulation A Regulation A+Regulation D Rule 144 SEC Rule 15c2-11 Securities Attorneys

SEC Proposes Rules for Regulation A+

Laura Anthony, Esq.

February 25, 2014

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Form D JOBS ACT JOBS ACT and Crowdfunding Regulation D Rule 144 Rule 156 Rule 506 Securities Attorneys

OTC Markets Comments on Proposed SEC Rules Regarding Amendments to Regulation D, Form D and Rule 156

Laura Anthony, Esq.

October 15, 2013

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