IPOSEC SEC Commissioner Piwowar Speaks On The IPO Market Laura Anthony, Esq.July 18, 2017 July 18, 2017 On May 16, 2017, SEC Commissioner Michael Piwowar gave the opening remarks to the SEC-NYU Dialogue on Securities Market Regul... 035800
FINRAOTC MarketOTCBBOTCQB and OTCQXPinksheetsUncategorized SEC Grants Accelerated Approval to FINRA Rule Amendment Regarding Minimum Quotation Size Requirements for OTC Equity Securities Laura Anthony, Esq.June 19, 2012 On June 15, 2012, the SEC granted accelerated approval to an amendment to FINRA rule 6433 related to the minimum quotation size for... 023400
FINRAJOBS ACTPrivate Investment in Public Equity (PIPE)SECSmall Cap MarketUncategorized SEC Has Approved A Two-Year Tick Size Pilot Program For Smaller Public Companies Laura Anthony, Esq.June 16, 2015 022500
Rule 144 SEC Rule 144: Current Public Information and Reporting Requirements Laura Anthony, Esq.November 4, 2009 The current public information requirement is measured at the time of each sale of securities. That is, the Issuer, whether reporti... 035300
Rule 144 SEC Rule 144: Pledged Securities, Holding Periods and Subscriptions Agreements Laura Anthony, Esq.November 5, 2009 Securities which are bona fide pledged may be tacked to the holding period of the pledgor as long as the pledge has full recourse ag... 059500
OTCBBRule 145SEC Guidance SEC Rule 145 – Registration and Resale Requirements For Securities Issued in Merger, Consolidation or Acquisition Laura Anthony, Esq.November 4, 2009 Rule 145 addresses the registration and resale requirements for securities issued in a merger, consolidation, acquisition of assets... 01.2K00
Rule 10b-18SEC Guidance SEC Stock Buyback Rules Examined Laura Anthony, Esq.December 4, 2009 SEC Rule 10b-18 provides issuers with a safe harbor from liability for market manipulation under Sections 9(a)(2) and 10(b) of the E... 025200
Reverse MergersSEC Guidance Section 3(a)(9) Exchanges Evaluated Laura Anthony, Esq.December 11, 2009 Section 3(a)(9) of the Securities Act of 1933, provides an exemption from the registration requirements for “[E]xcept with respect t... 030400
Securities Attorneys Section 4(6) Registration Exemption for Accredited Investors Laura Anthony, Esq.January 28, 2010 Section 4(6) provides a registration exemption for offerings to accredited investors, if the aggregate offering amounts up to the do... 019700
Insider TradingSecurities AttorneysUncategorized Securities Attorneys Must Self-Regulate to Avoid Potential Insider Trading Pitfalls Laura Anthony, Esq.October 30, 2009 Attorneys who accept stock as compensation from public companies need to be aware of a vigilant regarding their insider trading obli... 022800