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Section 12(g) Registration
Unlike a Securities Act of 1933 (“Securities Act”) registration statement, a Securities Exchange Act of 1934 (“Exchange Act”) Sectio...
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Updated Guidance On Confidential Treatment In SEC filings
In March 2019, the SEC adopted amendments to Regulation S-K as required by the Fixing America’s Surface Transportation Act (“FAST Ac...
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Consequences Of Failing To File A Form D
I often get calls from clients or potential clients that have engaged in exempt offerings, have not filed a Form D and are wondering...
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The 20% Rule – Private Placements
Nasdaq and the NYSE American both have rules requiring listed companies to receive shareholder approval prior to issuing t...
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Nasdaq Board Independence Standards
Nasdaq Rule 5605 delineates the listing qualifications and requirements for a board of directors and committees, including the indep...
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