Blank Check CompaniesRule 419Securities Attorneys Rule 419 and Offerings by Shell or Blank Check Companies Laura Anthony, Esq.January 5, 2010 The provisions of Rule 419 apply to every registration statement filed under the Securities Act of 1933, as amended, by a blank chec... 01.3K00
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... 01.1K00
14c Information StatementOTCBBSchedule 14ASchedule 14CSEC GuidanceSEC Proxy RulesSEC Schedule 14ASection 14Securities AttorneysUncategorized 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 Laura Anthony, Esq.October 20, 2009 Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord... 061700
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... 058700
OTCBBRule 144Rule 145Section 5Spin-OffUncategorized Five Essential Conditions for Unregistered Spin-Offs Laura Anthony, Esq.October 28, 2009 A spin-off occurs when a parent company distributes shares of a subsidiary to the parent company’s shareholders such that the subsid... 048900
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... 034700
Private Investment in Public Equity (PIPE)Private PlacementSEC Guidance When Can Separate Issuer Offerings That Occur Within a Short Time Be Integrated? Laura Anthony, Esq.December 9, 2009 The integration doctrine prevents issuers from circumventing the registration requirements of the Securities Act of 1934 by determin... 033000
Due DiligenceNASDAQOTC MarketOTCBBOTCQB and OTCQXReverse MergersSEC GuidanceSmall Cap Market OTCBB Reporting Requirements Enable Successful Reverse Mergers Laura Anthony, Esq.October 5, 2009 031200
Private Investment in Public Equity (PIPE) Equity Line Financing Examined Laura Anthony, Esq.January 16, 2010 In a typical “equity line” financing arrangement, an investor and an Issuer enter into a written agreement whereby the Issuer has th... 030600
Broker-DealerDepository Trust Company (DTC)Due DiligenceFINRAGoing PublicReverse MergersSEC Rule 15c2-11 Market Makers Rely on Due Diligence in Reverse Mergers Laura Anthony, Esq.October 3, 2009 Learn how to quickly and effectively complete the due diligence process for reverse mergers. Florida securities attorney Laura Antho... 030000