FINRAOTCBBRule 6490 New FINRA Rules For Corporate Actions Laura Anthony, Esq.December 13, 2010 Effective September 27, 2010, the SEC has approved new FINRA Rule 6490 (Processing of Company Related Actions). Rule 6490 requires... 034200
FINRAOTC MarketOTCBBOTCQBOTCQB and OTCQXOTCQXPinksheetsSmall Cap Market Has The OTCBB Been Replaced By The OTCQX And OTCQB? Laura Anthony, Esq.December 9, 2010 Over the past few years, the historical “PinkSheets” has undergone some major changes, starting with the creation of certain “tiers”... 027800
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... 017900
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... 027500
Private Investment in Public Equity (PIPE) PIPE Transactions, Terms and Requirements Laura Anthony, Esq.June 18, 2010 A PIPE (Private Investment in Public Equity) transaction is typically a private placement of equity or equity-linked securities by a... 042100
Regulation ARule 134Rule 504 Regulation A – An Exemption By Any Other Name Is A Short Form Registration Laura Anthony, Esq.May 12, 2010 Although Regulation A is legally an exemption from the registration requirements contained in Section 5 of the Securities Act of 193... 025800
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... 025100
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... 045900
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... 027400
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... 031500