Law Blog Category: Section 3(a)(10)
What Is A Security? The Howey Test And Reves Test
November 25, 2014 in Section 3(a)(10), Section 3(a)(9), Section 5, The Howey Test, The Reves Test, 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
Section 3(a)(10) Debt Conversions in a Shell Company Pre-Reverse Merger
July 02, 2013 in Public Shell Company, Reverse Mergers, Rule 144, Rule 145, Section 3(a)(10), Securities Attorneys
The Securities & Exchange Commission (SEC) Provides Guidance Regarding Section 3(a)(10) of the Securities Act of 1933
Section 3(a)(10) of the Securities Act of 1933, as amended (“Securities Act”) is an exemption from the Securities Act registration requirements for the offers and sales of securities by Issuers. The Securities and Exchange Commission (SEC) has given guidance on the operation of Section 3(a)(10) in its Division of Corporation Finance: Revised Staff Legal Bulleting No. 3. Read the Legal & Compliance analysis and review of their advice and recommendations.