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Home Archive by Category "Rule 144A"

Rule 144A

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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

JOBS ACT JOBS ACT and Crowdfunding Regulation D Regulation D Offerings Rule 144A Rule 506 Uncategorized

SEC Issues Guidance On General Solicitation And Advertising In Regulation D Offerings

Laura Anthony, Esq.

September 1, 2015

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785

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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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4.6K

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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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560

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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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538

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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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640

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Regulation S Rule 144A Securities Attorneys

An Overview of Regulation S – The Offshore Offering Exclusion

Laura Anthony, Esq.

September 24, 2013

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1.5K

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Broker Dealer Registration Requirements Broker-Dealer Dodd-Frank Act FINRA JOBS ACT JOBS ACT and Crowdfunding Regulation D Rule 144A Rule 506 SEC Guidance Securities Attorneys

Will FINRA Rule Changes Related to Private Placement Further Deter Broker Dealers From Placing the Securities of Small Businesses?

Laura Anthony, Esq.

September 3, 2013

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427

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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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501

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Broker-Dealer Dodd-Frank Act JOBS ACT JOBS ACT and Crowdfunding Rule 144A Rule 506 S-1 Registration Statement Securities Attorneys

An Overview of Exemptions for Hedge Fund Advisers: Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers with Less Than $150 Million in Assets Under Management, and Foreign Private Advisers – Part I

Laura Anthony, Esq.

May 16, 2013

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546

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

Proposed Rules Eliminating the Prohibition Against General Solicitation and Advertising in Rules 506 and 144A Offerings – Part II

Laura Anthony, Esq.

September 5, 2012

As required by Title II of the JOBS Act, the SEC has published proposed rules eliminating the prohibition against general solicitati...

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