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Home Archive by Category "SEC Rule 15c2-11"

SEC Rule 15c2-11

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Crowdfunding FINRA Funding Portals JOBS ACT JOBS ACT and Crowdfunding SEC Rule 15c2-11 Section 304 Securities Attorneys

Crowdfunding Intermediaries-Questions

Laura Anthony, Esq.

June 5, 2012

On April 5, 2012 President Obama signed the JOBS Act into law. Part of the JOBS Act is the Crowdfunding Act, the full title of which...

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Crowdfunding FINRA Intrastate Offering JOBS ACT JOBS ACT and Crowdfunding Rule 144 Rule 147 SEC Rule 15c2-11 Securities Attorneys

Crowdfunding Using Intrastate Offerings and Rule 147 – Is Florida Next?

Laura Anthony, Esq.

March 11, 2014

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Broker-Dealer Direct Public Offering (DPO)Due Diligence FINRA Form 10 Funding Portals Going Public Going Public Attorneys Merger Transaction NASDAQ OTC Market OTCBB OTCQB and OTCQX Private Investment in Public Equity (PIPE)Public Shell Company Reverse Mergers Rule 144 S-1 Registration Statement SEC Rule 15c2-11 Securities Attorneys Uncategorized

Direct Public Offering or Reverse Merger; Know Your Best Option for Going Public

Laura Anthony, Esq.

January 21, 2014

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Broker-Dealer Depository Trust Company (DTC)Due Diligence FINRA Going Public Reverse Mergers SEC Rule 15c2-11

Market Makers Rely on Due Diligence in Reverse Mergers

Laura Anthony, Esq.

October 3, 2009

Learn how to quickly and effectively complete the due diligence process for reverse mergers. Florida securities attorney Laura Antho...

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15c2-11 Application OTC Market OTCBB OTCQB and OTCQX OTCQX Pinksheets SEC Rule 15c2-11 Securities Attorneys

OTC Market Group Has Modified Its Alternative Reporting Standard

Laura Anthony, Esq.

June 11, 2013

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15c2-11 Application OTC Market OTCBB Pinksheets SEC Rule 15c2-11 Securities Attorneys Small Cap Market

OTC Market Groups Has Modified Its Alternative Reporting Standard Effective January 3, 2013

Laura Anthony, Esq.

January 4, 2013

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OTC Market OTCBB OTCQB and OTCQX OTCQX Pinksheets SEC Rule 15c2-11 Uncategorized

OTC Markets has Modified its OTCQB Eligibility Criteria Effective May 1, 2014

Laura Anthony, Esq.

April 1, 2014

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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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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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15c2-11 Application Crowdfunding FINRA JOBS ACT OTC Market Public Shell Company Reverse Mergers SEC Guidance SEC Rule 15c2-11 Securities Attorneys Uncategorized

SEC Suspends Trading for Record Number of Shell Companies

Laura Anthony, Esq.

May 14, 2012

The Securities and Exchange Commission (SEC) today suspended the trading in 379 dormant shell companies. This is the most trading s...

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