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Home Archive by Category "Uncategorized" (Page 25)

Uncategorized

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C&DI Corporate Law Regulation FD Rule 134 SEC Guidance Small Cap Market Uncategorized

SEC Issues New Guidance on Use of Twitter and Other Social Media Communications

Laura Anthony, Esq.

April 29, 2014

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DAD/PAL OTC Market OTC Markets Listing Requirements OTC Pink OTC Pink Listing Requirements OTCBB OTCQB OTCQB and OTCQX OTCQB Listing Requirements OTCQX OTCQX Listing Requirements Pinksheets Small Cap Market Uncategorized

OTCQX Listing and Quotation Eligibility and Requirements for U.S. Companies

Laura Anthony, Esq.

April 22, 2014

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Form 10 Form 10-K Form 10-Q Form 8-K Regulation FD Rule 144 S-1 Registration Statement Schedule 13D Schedule 14C SEC Schedule 14A Securities Attorneys Uncategorized

Public Company SEC Reporting Requirements

Laura Anthony, Esq.

April 15, 2014

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Concurrent Private and Public Offerings Corporate Law Gun Jumping Private Placement Regulation D Rule 144 S-1 Registration Statement Safe Harbors Section 4(2)Section 4(a)(2)Securities Attorneys Uncategorized

Concurrent Public and Private Offerings

Laura Anthony, Esq.

April 8, 2014

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OTC Market OTCBB OTCQB and OTCQX OTCQX Pinksheets SEC Rule 15c2-11 Uncategorized

OTC Markets has Modified its OTCQB Eligibility Criteria Effective May 1, 2014

Laura Anthony, Esq.

April 1, 2014

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Public Shell Company Rule 144 Section 3(a)(9)Uncategorized

Understanding Section 3(a)(9) Exchanges and Conversions as Related to Convertible Promissory Notes

Laura Anthony, Esq.

March 4, 2014

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Broker Dealer Registration Requirements Broker-Dealer Going Public JOBS ACT JOBS ACT and Crowdfunding Rule 144 Rule 506 Section 12 Securities Attorneys Uncategorized

The SEC Establishes Key Exemption to the Broker-Dealer Registration Requirements for M&A Brokers

Laura Anthony, Esq.

February 18, 2014

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Broker-Dealer Direct Public Offering (DPO)Due Diligence FINRA Form 10 Funding Portals Going Public Going Public Attorneys Merger Transaction NASDAQ OTC Market OTCBB OTCQB and OTCQX Private Investment in Public Equity (PIPE)Public Shell Company Reverse Mergers Rule 144 S-1 Registration Statement SEC Rule 15c2-11 Securities Attorneys Uncategorized

Direct Public Offering or Reverse Merger; Know Your Best Option for Going Public

Laura Anthony, Esq.

January 21, 2014

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Bad Actor Rules Bad Actors Dodd-Frank Act Rule 506 SEC Guidance Securities Attorneys Uncategorized

SEC Guidance on Rules Disqualifying Bad Actors from Participating in Rule 506 Offerings

Laura Anthony, Esq.

December 17, 2013

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Form D Regulation D Rule 156 Rule 506 SEC Guidance Securities Attorneys Uncategorized

The SEC has Issued Proposed Rules Amending Regulation D, Form D and Rule 156 – Part I

Laura Anthony, Esq.

August 20, 2013

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