Securities Attorneys A Comprehensive Analysis of Section 5 Laura Anthony, Esq.December 29, 2009 Section 5 of the Securities Act of 1933, as amended, contains the basic registration requirements for all offerings and rules of sec... 020000
Section 4(2)Securities AttorneysUncategorized An In-Depth Review of Private Placements Under Section 4(2) Laura Anthony, Esq.January 25, 2010 Section 4(2) of the Securities Act of 1933 provides that the registration requirements of Section 5 do not apply to “transactions by... 024600
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... 034300
IPOReverse MergersUncategorized Back To Basics – IPO Or Not To IPO? Laura Anthony, Esq.February 23, 2011 Initial Public Offerings (IPO’s) are on the rise once again. I have potential clients calling me daily interested in going public t... 026300
Private PlacementRegulation DReverse MergersSection 4(2) Basic Refresher On The Private Placement Exemption Laura Anthony, Esq.February 14, 2011 Section 4(2) of the Securities Act of 1933, as Amended (“Securities Act”) provides the statutory basis for private placement offerin... 022600
Concurrent Private and Public OfferingsSection 4(a)(2)Uncategorized Compliance When Conducting Concurrent Private and Public Offerings Laura Anthony, Esq.January 19, 2010 The Securities and Exchange Commission’s (SEC) integration guidance in Securities Act Release No. 8828 (August 3, 2007) sets forth a... 026900
Corporate Law Contracting Away Fiduciary Obligations In Delaware LLCs And Limited Partnerships Laura Anthony, Esq.October 31, 2009 Delaware corporate and alternative entity law has long been the model for other states in drafting statutes and for practitioners in... 022600
Dodd-Frank ActRegulation DSecurities AttorneysUncategorized Dodd-Frank Act Changes Definition Of Accredited Investor Effective Immediately Laura Anthony, Esq.August 13, 2010 On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). A... 017600
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... 061900
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... 030800