Law Blog Tag: Rule 144
SEC Issues New C&DI On Rule 701
On June 23, 2016, the SEC issued seven new Compliance and Disclosure Interpretations (“C&DI”) related to Rule 701 of the Securities Act of 1933, as amended (“Securities Act”). On October 19, 2016, the SEC issued an additional three C&DI. The majority of the new C&DI focus on the effect on Rule 701 issuances following a Read the full article…
House Passes More Securities Legislation
March 15, 2016 in Dodd-Frank Act, FINRA, Rule 144, SEC, Securities Attorney, Securities Attorneys, The FAST Act, Uncategorized
SEC Small Business Advisory Committee Public Company Disclosure Recommendations
October 27, 2015 in Form 10-K, Form 10-Q, Form 8-K, Regulation S-K, Rule 144, Schedule 13D, Schedule 13G, Schedule 14A, SEC, SEC Advisory Committee, Section 16, Uncategorized
SEC Issues Guidance On General Solicitation And Advertising In Regulation D Offerings
September 01, 2015 in JOBS ACT, JOBS ACT and Crowdfunding, Regulation D, Regulation D Offerings, Rule 144A, Rule 506, Uncategorized
Going Public Transactions For Smaller Companies: Direct Public Offering And Reverse Merger
June 30, 2015 in Direct Public Offering (DPO), DTC Chill, DTC Eligibility, FINRA, Form S-1, Going Public, Going Public Attorneys, IPO, LawCast Network, NASDAQ, NASDAQ Listing Requirements, NYSE MKT, NYSE MKT Listing Requirements, OTC Market, OTC Markets Listing Requirements, Reverse Mergers, Rule 144, SEC, Uncategorized
First Issuer Completes NASAA Coordinated Review For Regulation A Offering
December 30, 2014 in Form D, JOBS ACT, NASAA, Regulation A, Regulation A+, Regulation D, Rule 144, Uncategorized
Will the Disclosure Modernization and Simplification Act of 2014 Simplify Reporting Requirements for ECG’s and Smaller Reporting Companies?
December 23, 2014 in Form 10, Form 10-K, Form 10-Q, Form 8-K, Regulation S-K, Rule 144, Rule 144A, Schedule 14C, Smaller Reporting Company, Uncategorized