An Introduction to Promissory Notes
A promissory note is a written promise by a person, persons or entity to pay a specific amount of money (called "principal") to anot...
Home Posts Tagged "OTCBB"
SEC Rule 145 – Registration and Resale Requirements For Securities Issued in Merger, Consolidation or Acquisition
Rule 145 addresses the registration and resale requirements for securities issued in a merger, consolidation, acquisition of assets...
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Elements Constituting “Solicitation” Such that a 14A Proxy Solicitation is Required Instead of a 14C Information Statement Under the Section 14 Proxy Rules of the Securities Exchange Act of 1934
Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord...
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SEC Rule 144: Pledged Securities, Holding Periods and Subscriptions Agreements
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...
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Five Essential Conditions for Unregistered Spin-Offs
A spin-off occurs when a parent company distributes shares of a subsidiary to the parent company’s shareholders such that the subsid...
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FINRA Proposes Expansion Of The OTCBB
In August 2016, FINRA quietly requested comment on a proposal to expand the now largely dormant OTC Bulletin Board quotation service...
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New FINRA Rules For Corporate Actions
Effective September 27, 2010, the SEC has approved new FINRA Rule 6490 (Processing of Company Related Actions). Rule 6490 requires...
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