Blank Check CompaniesRule 419Securities Attorneys Rule 419 and Offerings by Shell or Blank Check Companies Laura Anthony, Esq.January 5, 2010 The provisions of Rule 419 apply to every registration statement filed under the Securities Act of 1933, as amended, by a blank chec... 01.5K00
Regulation SRule 144ASecurities Attorneys An Overview of Regulation S – The Offshore Offering Exclusion Laura Anthony, Esq.September 24, 2013 01.3K00
Corporate LawForm 10-KInsider TradingSchedule 13GSEC GuidanceSection 13Section 16Securities AttorneysSmall Cap MarketUncategorizedWhite Paper Section 16 Insider Reporting and Potential Liability for Short-Swing Trading Practices Laura Anthony, Esq.June 30, 2014 01.2K00
Direct Public Offering (DPO)Due DiligenceForm 10Going PublicMerger TransactionMergers And AcquisitionsPublic Shell CompanyReverse MergersReverse Triangular MergerRule 144Securities AttorneysSuper 8-KSuper 8-k Requirements Guide to Reverse Merger Transaction Laura Anthony, Esq.March 18, 2014 089100
Direct Public Offering (DPO)Free Writing ProspectusGun JumpingIPOJOBS ACTRule 134Rule 135Safe HarborsSection 5Securities AttorneysSmall Cap MarketUncategorized Corporate Communications During the Public Offering Process; Avoid Gun Jumping Laura Anthony, Esq.August 12, 2014 088700
Insider TradingSEC GuidanceSecurities Attorneys 10b5-1 Trading Plans and Material Non-Public Information Laura Anthony, Esq.November 23, 2009 As a safe harbor from insider trading liability, Rule 10b5-1 provides that a purchase or sale of securities will not be deemed to be... 082300
Broker-DealerDirect Public Offering (DPO)Due DiligenceFINRAForm 10Funding PortalsGoing PublicGoing Public AttorneysMerger TransactionNASDAQOTC MarketOTCBBOTCQB and OTCQXPrivate Investment in Public Equity (PIPE)Public Shell CompanyReverse MergersRule 144S-1 Registration StatementSEC Rule 15c2-11Securities AttorneysUncategorized Direct Public Offering or Reverse Merger; Know Your Best Option for Going Public Laura Anthony, Esq.January 21, 2014 081100
Direct Public Offering (DPO)Form S-1Regulation S-KS-1 Registration StatementS-3 Registration StatementSection 5Securities AttorneysWhite Paper The DPO Process Including Form S-1 Registration Statement Requirements Laura Anthony, Esq.January 7, 2014 077800
14c Information StatementOTCBBSchedule 14ASchedule 14CSEC GuidanceSEC Proxy RulesSEC Schedule 14ASection 14Securities AttorneysUncategorized Elements Constituting “Solicitation” Such that a 14A Proxy Solicitation is Required Instead of a 14C Information Statement Under the Section 14 Proxy Rules of the Securities Exchange Act of 1934 Laura Anthony, Esq.October 20, 2009 Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord... 074700
Broker Dealer Registration RequirementsBroker-DealerGoing PublicJOBS ACTJOBS ACT and CrowdfundingRule 144Rule 506Section 12Securities AttorneysUncategorized The SEC Establishes Key Exemption to the Broker-Dealer Registration Requirements for M&A Brokers Laura Anthony, Esq.February 18, 2014 069500