NASAARegulation ARegulation A+Securities AttorneysSmall Cap MarketUncategorized SEC Has Published Final Rules Adopting Regulation A+ Laura Anthony, Esq.March 31, 2015 057000
GAAPSEC GuidanceSmall Cap MarketUncategorized SEC Rules – The Commission Publishes List of New Regulations for Review Laura Anthony, Esq.January 13, 2015 036700
FINRAFINRA ComplianceOTC MarketReverse SplitRule 10b-17Small Cap MarketUncategorized The ECOS Matter; When Is A Reverse Split Effective? Laura Anthony, Esq.September 30, 2014 042700
Direct Public Offering (DPO)Free Writing ProspectusGun JumpingIPOJOBS ACTRule 134Rule 135Safe HarborsSection 5Securities AttorneysSmall Cap MarketUncategorized Corporate Communications During the Public Offering Process; Avoid Gun Jumping Laura Anthony, Esq.August 12, 2014 00.9K00
Form 8-KOTCBBRule 144Section 15(d)Section 3(a)(10)Small Cap MarketUncategorized The Sale of Unregistered Securities Must Satisfy Form 8-K Filing Requirements In a 3(a)(10) Transaction Laura Anthony, Esq.August 5, 2014 060900
Blank Check CompaniesDirect Public Offering (DPO)Form 10Form S-1OTC MarketPublic Shell CompanyRule 144Rule 419S-1 Registration StatementSEC GuidanceSmall Cap MarketUncategorized Direct Public Offerings by Shell Companies- Tread Carefully Laura Anthony, Esq.July 29, 2014 068500
Articles of IncorporationCUSIP NumberOTC MarketSEC Proxy RulesSEC Schedule 14ASection 14Shareholder ProposalsSmall Cap Market Completing A Name Change Without Shareholder Approval Laura Anthony, Esq.July 22, 2014 061700
Accredited InvestorsC&DIRule 506SEC GuidanceSection 4(a)(2)Securities AttorneysSmall Cap MarketUncategorized SEC Extends Valuable Guidance to Determine and Verify Accredited Investors Laura Anthony, Esq.July 15, 2014 040100
Corporate LawForm 10-KInsider TradingSchedule 13GSEC GuidanceSection 13Section 16Securities AttorneysSmall Cap MarketUncategorizedWhite Paper Section 16 Insider Reporting and Potential Liability for Short-Swing Trading Practices Laura Anthony, Esq.June 30, 2014 01.3K00
Schedule 13DSchedule 13GSection 12Small Cap MarketSpin-Off Schedule 13D and 13G Filing Requirements for Public Company Shareholders Laura Anthony, Esq.June 24, 2014 02.9K00
