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
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
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.