Law Blog Category: Section 15(d)
SEC Issues Final Rules Implementing The JOBS Act And Rules On The FAST Act
May 10, 2016 in Accredited Investors, JOBS ACT, JOBS ACT and Crowdfunding, SEC, Section 12, Section 15(d), The FAST Act, Uncategorized
The SEC Issues Guidance On The FAST Act As It Relates To Savings And Loan Companies
January 19, 2016 in C&DI, JOBS ACT, JOBS ACT and Crowdfunding, Section 15(d), The FAST Act, Uncategorized
CEO and CFO Certifications for Forms 10-Q and 10-K
August 26, 2014 in CEO/CFO Certification Requirements, Form 10-K, Form 10-Q, Form 8-K, Sarbanes-Oxley Act of 2002, Section 15(d), Uncategorized
The Sale of Unregistered Securities Must Satisfy Form 8-K Filing Requirements In a 3(a)(10) Transaction
August 05, 2014 in Form 8-K, OTCBB, Rule 144, Section 15(d), Section 3(a)(10), Small Cap Market, Uncategorized