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SEC Section 16 Filings
SEC Section 16 Filings- Under Section 16, every person who is an insider, including officers, directors and 10% shareholders, must f...
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Section 16 Reporting Requirements
Section 16 Reporting Requirements- Under Section 16, every person who is an insider must file an initial statement on Form 3 within...
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Section 16 requirements
Section 16 requirements- Today I am continuing to discuss the Section 16 requirements and in particular the short swing trading prof...
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Section 4(a)(1) Exemption
Section 4(a)(1) Exemption- Just like for an issuer, when a shareholder sells or transfers shares that sale or transfer must either b...
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Sections 13 and 16 Reporting Requirements
Sections 13 and 16 Reporting Requirements- Sections 13 and 16 are individual SEC reporting requirements for officers, directors and...
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Securities Attorneys on the OTCQB
Securities LawCast©- Legal & Compliance, LLC- Securities Attorneys on the OTCQB. Laura Anthony, Esq. is a Securities Attorney an...
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SPAC IPOs A Sign Of Impending M&A Opportunities
SPAC IPOs A Sign Of Impending M&A Opportunities- The last time I wrote about special purpose acquisition companies (SPACs) in Ju...
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SPAC Shareholder Litigation – First Fire
SPAC Shareholder Litigation – First Fire- On January 3, 2022, the Delaware Court of Chancery denied a motion to dismiss a shar...
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State Blue Sky Compliance
State Blue Sky Compliance – Tier 2 offerings present a much needed opportunity for smaller companies to go public without the...
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Super 8-K Filing Requirements
Super 8-K Filing Requirements- A “Super 8-K” is an industry term used for an 8-K filed under Item 2.01 for the completion of a trans...