Private Investment in Public Equity (PIPE)Securities AttorneysUncategorized The Demise of the Death Spiral – SEC Interpretation of Rule 415 Laura Anthony, Esq.October 22, 2009 Without fanfare, publications, or other notice, in mid 2006, PIPE investors and the Issuers that utilized them noticed a big differe... 028100
Corporate LawUncategorized The Federalism of State Corporate Law Laura Anthony, Esq.October 29, 2009 Historically the regulation of corporate law has been firmly within the power and authority of the states. However, over the past f... 028400
CrowdfundingJOBS ACTJOBS ACT and CrowdfundingRegulation AReverse MergersRule 504Rule 506Securities Attorneys The JOBS Act Is Not Just Crowdfunding Laura Anthony, Esq.April 17, 2012 On April 5, 2012 President Obama signed the JOBS Act into law. In my excitement over this ground-breaking new law, I have been zeal... 026700
Broker-DealerFINRAOTC MarketOTCBBOTCQBOTCQB and OTCQXOTCQXPinksheetsSmall Cap Market The OTCBB – Nearly Extinct, OTCQB is the Micro-Cap Reporting Standard Laura Anthony, Esq.August 23, 2012 For the past two years it had appeared that the OTCBB had been replaced by the OTC Link run OTCQB and the OTCQX. For all intents and... 032100
15c2-11 ApplicationDue DiligenceFINRAOTC MarketOTCBBOTCQBOTCQB and OTCQXOTCQXPinksheetsPrivate Investment in Public Equity (PIPE)S-1 Registration StatementSEC Rule 15c2-11Securities Attorneys The OTCQX And OTCQB Are Finally Recognized As “Established Public Markets” By The SEC Laura Anthony, Esq.May 29, 2013 040400
Form 8-KOTCBBRule 144Section 15(d)Section 3(a)(10)Small Cap MarketUncategorized The Sale of Unregistered Securities Must Satisfy Form 8-K Filing Requirements In a 3(a)(10) Transaction Laura Anthony, Esq.August 5, 2014 051000
OTCBBOTCQB and OTCQXPinksheetsSEC GuidanceSection 3(a)(10) The Securities & Exchange Commission (SEC) Provides Guidance Regarding Section 3(a)(10) of the Securities Act of 1933 Laura Anthony, Esq.October 21, 2009 Section 3(a)(10) of the Securities Act of 1933, as amended (“Securities Act”) is an exemption from the Securities Act registration r... 027000