C&DIRegulation ARegulation A+Rule 144Rule 701SECSection 5 SEC Issues New C&DI On Rule 701 Laura Anthony, Esq.November 1, 2016 On June 23, 2016, the SEC issued seven new Compliance and Disclosure Interpretations (“C&DI”) related to Rule 701 of the Securit... 01K00
Form 10-KForm 10-QForm 8-KRegulation S-KRule 144Schedule 13DSchedule 13GSchedule 14ASECSEC Advisory CommitteeSection 16Uncategorized SEC Small Business Advisory Committee Public Company Disclosure Recommendations Laura Anthony, Esq.October 27, 2015 038200
JOBS ACTJOBS ACT and CrowdfundingRegulation DRegulation D OfferingsRule 144ARule 506Uncategorized SEC Issues Guidance On General Solicitation And Advertising In Regulation D Offerings Laura Anthony, Esq.September 1, 2015 052800
Regulation MRegulation SHORule 144Uncategorized SEC Filed Actions Against 19 Firms and One Individual Trader for Violation of Rule 105 of Regulation M Laura Anthony, Esq.September 23, 2014 049400
CrowdfundingForm 10Form 10-QJOBS ACTRegulation ARegulation A+Regulation DRule 144SEC Rule 15c2-11Securities Attorneys SEC Proposes Rules for Regulation A+ Laura Anthony, Esq.February 25, 2014 028800
FINRAForm 10Form 8-KForm S-1JOBS ACTPublic Shell CompanyRule 144S-1 Registration StatementSEC Rule 15c2-11Securities Attorneys SEC Files Proceedings Against 19 S-1 Companies and Suspends Trading on 255 Shell Companies Laura Anthony, Esq.February 4, 2014 035300
Public Shell CompanyReverse MergersRule 144Rule 145Section 3(a)(10)Securities Attorneys Section 3(a)(10) Debt Conversions in a Shell Company Pre-Reverse Merger Laura Anthony, Esq.July 2, 2013 042700
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... 026200
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... 059900
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... 035600