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NASDAQ Listing Requirements and the Seasoning Rule
NASDAQ Listing Requirements and the Seasoning Rule- The seasoning rules were adopted in late 2011 by multiple national exchanges, in...
Securities Law Firm
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Going Public Through A Reverse Merger
Going Public Through A Reverse Merger- A reverse merger is the most common alternative to an initial public offering (IPO) or direct...
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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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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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What is LawCast?
What is LawCast?- I’ve been practicing securities law for more than 20 years. In that time the small cap marketplace, including the...
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Testing The Waters When Conducting An Offering Using Form S-1
Testing The Waters When Conducting An Offering Using Form S-1- Today is the continuation in a LawCast series detailing testing the w...
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Registered Offerings Using Form S-1
Registered Offerings Using Form S-1- In the last LawCast series I detailed testing the waters in a Regulation A or A+ offering. I’m...
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OTCQB Listing Requirements
OTCQB Listing Requirements- OTCQB, To be eligible to be quoted on the OTCQB, all companies will be required to: Meet a minimum closi...
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Penny Stock Rules
Penny Stock Rules- In last week’s blog regarding FINRA’s request to eliminate the OTC Bulletin Board quotation service (OTCBB) and t...
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The Merger and Acquisition Process
The Merger and Acquisition Process- Today I am continuing my discussion on the responsibilities of the board of directors and in par...