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... 021600
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... 027200
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... 015200
Rule 144Securities AttorneysUncategorized Examination of Rule 144 and Potential Interpretations Laura Anthony, Esq.October 6, 2009 Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord... 019500
Due DiligenceNASDAQOTC MarketOTCBBOTCQB and OTCQXReverse MergersSEC GuidanceSmall Cap Market OTCBB Reporting Requirements Enable Successful Reverse Mergers Laura Anthony, Esq.October 5, 2009 029600
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... 028400
Articles of IncorporationDue DiligenceGoing PublicPCAOB AuditingPublic Shell CompanyReverse MergersSection 16 Reverse Mergers Hinge on Due Diligence and Cleaning Up Public Shells Laura Anthony, Esq.October 1, 2009 When a publicly traded company “goes dark” and becomes delinquent in its filing requirements, it generally becomes a public shell an... 026400