Insider TradingSEC GuidanceSecurities Attorneys 10b5-1 Trading Plans and Material Non-Public Information Laura Anthony, Esq.November 23, 2009 As a safe harbor from insider trading liability, Rule 10b5-1 provides that a purchase or sale of securities will not be deemed to be... 072000
Securities Attorneys A Comprehensive Analysis of Section 5 Laura Anthony, Esq.December 29, 2009 Section 5 of the Securities Act of 1933, as amended, contains the basic registration requirements for all offerings and rules of sec... 019900
Section 4(2)Securities AttorneysUncategorized An In-Depth Review of Private Placements Under Section 4(2) Laura Anthony, Esq.January 25, 2010 Section 4(2) of the Securities Act of 1933 provides that the registration requirements of Section 5 do not apply to “transactions by... 024600
Uncategorized An Introduction to Promissory Notes Laura Anthony, Esq.August 4, 2011 A promissory note is a written promise by a person, persons or entity to pay a specific amount of money (called "principal") to anot... 01.9K00
PCAOB AuditingSarbanes-Oxley Act of 2002SEC GuidanceUncategorized Analysis of Section 404(b) of the Sarbanes-Oxley Act of 2002 for Non-Accelerated Filers Laura Anthony, Esq.October 15, 2009 Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord... 034200
IPOReverse MergersUncategorized Back To Basics – IPO Or Not To IPO? Laura Anthony, Esq.February 23, 2011 Initial Public Offerings (IPO’s) are on the rise once again. I have potential clients calling me daily interested in going public t... 026200
CrowdfundingFINRAJOBS ACTJOBS ACT and CrowdfundingRegulation DSEC GuidanceSecurities AttorneysUncategorized CFIRA Submits Crowdfunding Letter to SEC Laura Anthony, Esq.May 24, 2012 The CFIRA (Crowdfund Intermediaries Regulatory Advocates) was established by crowdfunding industry professionals for the purpose of... 024000
Concurrent Private and Public OfferingsSection 4(a)(2)Uncategorized Compliance When Conducting Concurrent Private and Public Offerings Laura Anthony, Esq.January 19, 2010 The Securities and Exchange Commission’s (SEC) integration guidance in Securities Act Release No. 8828 (August 3, 2007) sets forth a... 026700
Corporate Law Contracting Away Fiduciary Obligations In Delaware LLCs And Limited Partnerships Laura Anthony, Esq.October 31, 2009 Delaware corporate and alternative entity law has long been the model for other states in drafting statutes and for practitioners in... 022500
Direct Public Offering (DPO)Going PublicRegulation DRule 506 Direct Public Offerings And The Internet Laura Anthony, Esq.June 16, 2010 In today’s financial environment, many Issuers are choosing to self underwrite their public offerings, commonly referred to as a Dir... 028800