Law Blog Category: White Paper

Finders- The Facts Related To Broker-Dealer Registration Requirements

August 25, 2015 in Broker Dealer Registration Requirements, Broker-Dealer, Finder's Fees, Uncategorized, White Paper

OTC Markets Quotation Levels, Listing Requirements, and Comprehensive Pubco Criteria

February 10, 2015 in DAD/PAL, LawCast Network, OTC Market, OTC Markets Listing Requirements, OTC Pink, OTC Pink Listing Requirements, OTCBB, OTCQB, OTCQB and OTCQX, OTCQB Listing Requirements, OTCQX, OTCQX Listing Requirements, Uncategorized, White Paper

Section 16 Insider Reporting and Potential Liability for Short-Swing Trading Practices

June 30, 2014 in Corporate Law, Form 10-K, Insider Trading, Schedule 13G, SEC Guidance, Section 13, Section 16, Securities Attorneys, Small Cap Market, Uncategorized, White Paper

DTC Has Published Proposed Rules Related To Chills and Locks

January 28, 2014 in Depository Trust Company (DTC), DTC Chill, DTC Eligibility, DTC Global Locks, Form 10, Global Lock, Rule 144, Securities Attorneys, White Paper

The DPO Process Including Form S-1 Registration Statement Requirements

January 07, 2014 in Direct Public Offering (DPO), Form S-1, Regulation S-K, S-1 Registration Statement, S-3 Registration Statement, Section 5, Securities Attorneys, White Paper

DTC Unveils Procedures and Plans for a Rule Change that Applies to Issuers Affected By Chills and Locks

October 08, 2013 in Depository Trust Company (DTC), DTC Chill, DTC Eligibility, DTC Global Locks, Global Lock, Rule 144, Securities Attorneys, White Paper

CROWDFUNDING FROM A TO Z

October 04, 2012 in Crowdfunding, FINRA, Form D, Funding Portals, JOBS ACT, JOBS ACT and Crowdfunding, Rule 144, Section 5, White Paper

As the expected deadline for the SEC to publish rules and regulations enacting the Crowdfunding Act (Title III of the Jumpstart Our Business Startups Act (JOBS Act)) grows nearer, it is a good time for a complete overview of crowdfunding. New Sections 4(6) and 4A of the Securities Act of 1933 codify the crowdfunding exemption and its various requirements as to Issuers and intermediaries. The SEC is in the process of drafting the underlying rules and regulations which will implement these new statutory provisions.