Securities Law Firm

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Securities Law Firm

The DPO Process

Securities LawCast©- Legal & Compliance, LLC- The Direct Public Offering Process Including Form S-1 Registration Statement Requi...
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Securities Law Firm

SEC Disclosure Requirements

SEC Disclosure Requirements- Today is the second Lawcast in a series discussing SEC disclosure requirements. As mentioned in the las...
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Securities Law Firm

SEC Reporting Requirements

SEC Reporting Requirements- Today is the continuation in a Lawcast series discussing SEC disclosure requirements and in particular t...
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Securities Law Firm

Mergers and Acquisitions

Mergers and Acquisitions- My firm is constantly working on a merger, acquisition and/or reverse merger transaction. Earlier this yea...
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Securities Law Firm

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...
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Securities Law Firm

SEC Fall 2021 Regulatory Agenda

SEC Fall 2021 Regulatory Agenda- In mid-December, the SEC published its semiannual regulatory agenda and plans for rulemaking. The U...
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Securities Law Firm

506(c) Exemption

506(c) Exemption- Today is the continuation of a Lawcast series discussing Rule 506 of Regulation D including the difference between...
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Securities Law Firm

Schedule 13D

Schedule 13D- Section 13 requires that any person that has acquired, either directly or indirectly, more than 5% of the beneficial o...
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