Mergers And Acquisitions Merger and Acquisitions – Board of Director Obligations, Part 2 Laura Anthony, Esq.April 29, 2011 This blog continues my series on obligations (and rights and responsibilities) of the board of directors during a merger and/or acqu... 023100
Mergers And Acquisitions Merger and Acquisitions – Board of Director Obligations, Part 3 Laura Anthony, Esq.May 4, 2011 This article continues my series on obligations (and rights and responsibilities) of the board of directors during a merger and/or a... 020900
Mergers And Acquisitions Merger and Acquisitions – Board of Director Obligations, Part 4 Laura Anthony, Esq.May 6, 2011 This article continues my series on obligations (and rights and responsibilities) of the board of directors during a merger and acqu... 020600
Direct Public Offering (DPO)Due DiligenceOTCBBPublic Shell CompanyRegulation S-KReverse Mergers Necessity of Background Searches on Officers and Directors as Part of Due Diligence Prior to a Reverse Merger or IPO Laura Anthony, Esq.October 17, 2009 Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord... 030800
FINRASEC Guidance New FINRA Requirements for Corporate Actions Require More Thorough Documentation on Behalf of Issuers Laura Anthony, Esq.October 19, 2009 Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord... 024100
FINRAOTCBBRule 6490 New FINRA Rules For Corporate Actions Laura Anthony, Esq.December 13, 2010 Effective September 27, 2010, the SEC has approved new FINRA Rule 6490 (Processing of Company Related Actions). Rule 6490 requires... 035900
Due DiligenceNASDAQOTC MarketOTCBBOTCQB and OTCQXReverse MergersSEC GuidanceSmall Cap Market OTCBB Reporting Requirements Enable Successful Reverse Mergers Laura Anthony, Esq.October 5, 2009 033100
Regulation DRegulation SReverse MergersRule 144Section 3(a)(9)Section 5 Overview of Recognized Exemptions From Section 5 Laura Anthony, Esq.January 8, 2010 The Securities Act of 1933 recognizes two broad types of exemptions to the registration requirements of Section 5, exempt securities... 038900
Private Investment in Public Equity (PIPE) PIPE Transactions, Terms and Requirements Laura Anthony, Esq.June 18, 2010 A PIPE (Private Investment in Public Equity) transaction is typically a private placement of equity or equity-linked securities by a... 042900
FINRAOTC Market Potential Impact of Rule SEC Release #34-60515 Regarding Proposal to Extend Regulation NMS Coverage to OTC Securities Laura Anthony, Esq.October 7, 2009 Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord... 017100