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... 01.2K00
Blank Check CompaniesForm S-1Public ShellReverse MergersSECUncategorized SEC Footnote 32 and Sham S-1 Registration Statements Laura Anthony, Esq.September 29, 2015 064100
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... 059500
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... 035300
Reverse MergersSEC Guidance Section 3(a)(9) Exchanges Evaluated Laura Anthony, Esq.December 11, 2009 Section 3(a)(9) of the Securities Act of 1933, provides an exemption from the registration requirements for “[E]xcept with respect t... 030400
Direct Public Offering (DPO)Reverse MergersRule 419SPACsUncategorized Special Purpose Acquisition Companies (SPACs) Laura Anthony, Esq.August 5, 2010 A SPAC is a company organized to purchase one or more operating businesses and which generally intends to raise capital through an i... 027600
Regulation DRule 144Rule 144A SEC Rule 144: Resale Conditions and Exempt Transactions Laura Anthony, Esq.November 3, 2009 There are many questions regarding the application of Securities Act of 1933 (“Securities Act”) Rule 144 for the resale of securitie... 026700
Rule 147Safe HarborsSEC GuidanceSection 3(a)(11)Securities Attorneys Securities Law Update: Intrastate Offerings Section 3(a)(11) and Rule 147 Examined Laura Anthony, Esq.November 6, 2009 Section 3(a)(11) of the Securities Act of 1933, as amended (Securities Act) provides an exemption from the registration requirements... 026100
Rule 10b-18SEC Guidance SEC Stock Buyback Rules Examined Laura Anthony, Esq.December 4, 2009 SEC Rule 10b-18 provides issuers with a safe harbor from liability for market manipulation under Sections 9(a)(2) and 10(b) of the E... 025200
Insider TradingSecurities AttorneysUncategorized Securities Attorneys Must Self-Regulate to Avoid Potential Insider Trading Pitfalls Laura Anthony, Esq.October 30, 2009 Attorneys who accept stock as compensation from public companies need to be aware of a vigilant regarding their insider trading obli... 022800