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... 021200
OTCBBRule 144Rule 145Section 5Spin-OffUncategorized Five Essential Conditions for Unregistered Spin-Offs Laura Anthony, Esq.October 28, 2009 A spin-off occurs when a parent company distributes shares of a subsidiary to the parent company’s shareholders such that the subsid... 049500
Direct Public Offering (DPO)DTC ChillDTC EligibilityFINRAForm S-1Going PublicGoing Public AttorneysIPOLawCast NetworkNASDAQNASDAQ Listing RequirementsNYSE MKTNYSE MKT Listing RequirementsOTC MarketOTC Markets Listing RequirementsReverse MergersRule 144SECUncategorized Going Public Transactions For Smaller Companies: Direct Public Offering And Reverse Merger Laura Anthony, Esq.June 30, 2015 055100
FINRAOTC MarketOTCBBOTCQBOTCQB and OTCQXOTCQXPinksheetsSmall Cap Market Has The OTCBB Been Replaced By The OTCQX And OTCQB?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”... 027900
Securities Attorneys Legal & Compliance, LLC Adds Lazarus Rothstein, Esq. as Of Counsel as Economic Confidence Builds in 2013 among its Clients Laura Anthony, Esq.January 11, 2013 WEST PALM BEACH, FLORIDA (January 10, 2013) - Legal & Compliance, LLC is pleased to announce that Lazarus Rothstein, Esq. has recent... 027500
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... 031000
Mergers And Acquisitions Merger and Acquisitions – Board of Director Obligations, Part 2 Laura Anthony, Esq.April 29, 2011 This blog continues my series on obligations (and rights and responsibilities) of the board of directors during a merger and/or acqu... 022400
Mergers And Acquisitions Merger and Acquisitions – Board of Director Obligations, Part 3 Laura Anthony, Esq.May 4, 2011 This article continues my series on obligations (and rights and responsibilities) of the board of directors during a merger and/or a... 020400
Mergers And Acquisitions Merger and Acquisitions – Board of Director Obligations, Part 4 Laura Anthony, Esq.May 6, 2011 This article continues my series on obligations (and rights and responsibilities) of the board of directors during a merger and acqu... 020100
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... 029000