PCAOB AuditingSarbanes-Oxley Act of 2002SEC GuidanceUncategorized Analysis of Section 404(b) of the Sarbanes-Oxley Act of 2002 for Non-Accelerated Filers Laura Anthony, Esq.October 15, 2009 Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord... 034200
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 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... 020700
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... 028400
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... 015900
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... 028100
PinksheetsPublic Shell CompanyReverse MergersRule 144 Rule 144 and Pink Sheet Shells; Selling Shares Post Merger Laura Anthony, Esq.November 11, 2009 One of the most common inquiries received by securities attorneys today involves Issuers wanting to know when they and their shareho... 062500
Form 10Going PublicReverse MergersRule 144Section 13 Rule 144 and the Evergreen Requirement Examined Laura Anthony, Esq.January 22, 2010 Technically Rule 144 provides a safe harbor from the definition of the term “underwriter” such that a selling shareholder may utiliz... 045200
Blank Check CompaniesForm S-1Public ShellReverse MergersSECUncategorized SEC Footnote 32 and Sham S-1 Registration Statements Laura Anthony, Esq.September 29, 2015 063300
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