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

SEC Rule 15c2-11

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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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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 Crowdfunding FINRA Funding Portals Intrastate Offering JOBS ACT and Crowdfunding Rule 147 SEC Rule 15c2-11 Section 3(a)(11)

State Crowdfunding Using Intrastate Offerings and Rule 147

Laura Anthony, Esq.

September 10, 2013

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15c2-11 Application Due Diligence FINRA OTC Market OTCBB OTCQB OTCQB and OTCQX OTCQX Pinksheets Private Investment in Public Equity (PIPE)S-1 Registration Statement SEC Rule 15c2-11 Securities Attorneys

The OTCQX And OTCQB Are Finally Recognized As “Established Public Markets” By The SEC

Laura Anthony, Esq.

May 29, 2013

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490

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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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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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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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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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461

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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 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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