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Home Archive by Category "Rule 144" (Page 5)

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

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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Broker Dealer Registration Requirements Broker-Dealer Going Public JOBS ACT JOBS ACT and Crowdfunding Rule 144 Rule 506 Section 12 Securities Attorneys Uncategorized

The SEC Establishes Key Exemption to the Broker-Dealer Registration Requirements for M&A Brokers

Laura Anthony, Esq.

February 18, 2014

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Rule 144 Rule 144A Section 4(a)(1)Uncategorized

The Section 4(a)(1) And 4(a)(1½) Exemption; Recommendations For An Amendment To Rule 144 Related To Shell Companies

Laura Anthony, Esq.

June 23, 2015

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4.1K

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Public Shell Company Rule 144 Section 3(a)(9)Uncategorized

Understanding Section 3(a)(9) Exchanges and Conversions as Related to Convertible Promissory Notes

Laura Anthony, Esq.

March 4, 2014

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3.7K

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CUSIP Number Depository Trust Company (DTC)DTC Eligibility FINRA Form 10 LEI Number Rule 144 Uncategorized

What is A CUSIP and Legal Entity Identifier (LEI) Number?

Laura Anthony, Esq.

May 27, 2014

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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 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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