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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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DTC Eligibility, DTC Chills and Global Locks for OTC Markets Companies
DTC Eligibility, DTC Chills and Global Locks for OTC Markets Companies- In the first Lawcast in this series I discussed generally wh...
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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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Reverse Merger Process | Reverse Merger Attorneys
Reverse Merger Process- A reverse merger is a merger transaction with the difference being that the target ultimately ends up ownin...
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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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SEC Regulation S-K
SEC Regulation S-K- The topic of disclosure requirements under the Securities Exchange Act of 1934 (“Exchange Act”) and in particula...
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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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Merger and Acquisition Transactions
Merger and Acquisition Transactions- In the last four Lawcasts in this series I discussed the responsibilities of the board of direc...
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The DTC and Removing A DTC Chill or Global Lock
The DTC and Removing A DTC Chill or Global Lock- In the first two Lawcasts in this series I discussed generally what the DTC is and...
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The Difference Between A 506(b) Offering And A 506(c) Offering
The Difference Between A 506(b) Offering And A 506(c) Offering- the difference between a traditional 506(b) offering and a 506(c) of...