SEC Guidance Registering Convertible Securities Laura Anthony, Esq.January 12, 2010 Many clients seek to register convertible securities, such as convertible debentures, warrants, options or convertible preferred sto... 026700
SEC GuidanceUncategorized Responsibilities of Independent Directors Increases in Response to Sarbanes Oxley Laura Anthony, Esq.November 10, 2009 Serving as an independent director carries serious obligations and responsibilities. Following the passage of the Sarbanes Oxley... 021500
SEC Guidance Rule 701 – Exemption for Offers and Sales to Employees of Non-Reporting Entities Laura Anthony, Esq.January 1, 2010 While the issuance of small numbers of shares as prizes or awards to employees may be made without Securities Act Registration, if s... 032000