Home Posts Tagged "Over The Counter Bulletin Board" (Page 2)
Tag: Over The Counter Bulletin Board
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Potential Impact of Rule SEC Release #34-60515 Regarding Proposal to Extend Regulation NMS Coverage to OTC Securities
Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord...
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Regulation A and Rule 504
Section 3(b) of the Securities Act gives the SEC authority to exempt from registration certain offerings where the securities to be...
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Responsibilities of Independent Directors Increases in Response to Sarbanes Oxley
Serving as an independent director carries serious obligations and responsibilities. Following the passage of the Sarbanes Oxley...
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Reverse Mergers Hinge on Due Diligence and Cleaning Up Public Shells
When a publicly traded company “goes dark” and becomes delinquent in its filing requirements, it generally becomes a public shell an...
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Rule 419 and Offerings by Shell or Blank Check Companies
The provisions of Rule 419 apply to every registration statement filed under the Securities Act of 1933, as amended, by a blank chec...
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1.3K
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SEC Rule 144: Current Public Information and Reporting Requirements
The current public information requirement is measured at the time of each sale of securities. That is, the Issuer, whether reporti...
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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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SEC Rule 144: Resale Conditions and Exempt Transactions
There are many questions regarding the application of Securities Act of 1933 (“Securities Act”) Rule 144 for the resale of securitie...
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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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