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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The SEC Has Adopted Final Amendments To Rule 15C2-11; Major Change For OTC Markets Companies
Despite an unusual abundance of comments and push-back, on September 16, 2020, one year after issuing proposed rules (see HERE)...
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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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SPAC Nasdaq Listing Standards
I’ve written quite a bit about SPAC’s recently, but the last time I wrote about SPAC Nasdaq listing requirements, or any attempted c...
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Florida Broker-Dealer Registration Exemption For M&A Brokers
Following the SEC’s lead, effective July 1, 2016, Florida has passed a statutory exemption from the broker-dealer registration requi...
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