FINRAForm 10Form 8-KForm S-1JOBS ACTPublic Shell CompanyRule 144S-1 Registration StatementSEC Rule 15c2-11Securities Attorneys SEC Files Proceedings Against 19 S-1 Companies and Suspends Trading on 255 Shell Companies Laura Anthony, Esq.February 4, 2014 034900
Bad Actor RulesBad ActorsDodd-Frank ActRule 506SEC GuidanceSecurities AttorneysUncategorized SEC Guidance on Rules Disqualifying Bad Actors from Participating in Rule 506 Offerings Laura Anthony, Esq.December 17, 2013 031700
Blank Check CompaniesFINRAForm 10Form 8-KPublic Shell CompanyRule 144Rule 419S-1 Registration StatementSEC GuidanceSecurities Attorneys SEC has Modified Policies on Offerings by Shell Companies Laura Anthony, Esq.October 1, 2013 041700
Regulation SHORisk AlertSEC GuidanceSecurities AttorneysUncategorized SEC Issued Risk Alert on Options Trading Used to Evade Short Sale Requirements Laura Anthony, Esq.August 15, 2013 020400
OTC MarketOTCBBOTCQBOTCQB and OTCQXOTCQXPinksheetsPrivate Investment in Public Equity (PIPE)S-1 Registration StatementSecurities Attorneys SEC Updates May Benefit Equity Line Financing Providers and Issuers Laura Anthony, Esq.August 13, 2013 024000
Bad Actor RulesBad ActorsDodd-Frank ActJOBS ACTJOBS ACT and CrowdfundingRegulation DRule 506SEC GuidanceSecurities AttorneysUncategorized SEC has Finalized Rules Disqualifying Felons and Other “Bad Actors” from Rule 506 Offerings Laura Anthony, Esq.July 31, 2013 027400
Public Shell CompanyReverse MergersRule 144Rule 145Section 3(a)(10)Securities Attorneys Section 3(a)(10) Debt Conversions in a Shell Company Pre-Reverse Merger Laura Anthony, Esq.July 2, 2013 042200
Regulation S-KSEC GuidanceSecurities AttorneysUncategorized SEC Announces it Will Seek an Admission of Fault to Settle Certain Cases Laura Anthony, Esq.June 25, 2013 021900
15c2-11 ApplicationFINRAOTC MarketS-1 Registration StatementSEC Rule 15c2-11Securities Attorneys SEC Suspends Trading On 61 Shell Companies Laura Anthony, Esq.June 3, 2013 028700
Regulation FDSEC GuidanceSecurities Attorneys SEC Guidance On Social Media And Websites For Company Announcements And Communications- Part III Laura Anthony, Esq.May 14, 2013 024000