Form S-8SEC GuidanceUncategorized S-8 Stock, Use and Misuse Laura Anthony, Esq.July 14, 2011 A Form S-8 registration statement is popular with small business issuers as it becomes effective immediately upon filing and allows... 027300
OTC MarketOTCBBOTCQBOTCQB and OTCQXOTCQXPinksheets SEC Approves BX Venture Market Laura Anthony, Esq.June 17, 2011 The SEC has recently approved the NASDAQ OMX Group, Inc.’s application to form the BX Venture Market (“BX Market”) as an alternative... 026300
Broker-DealerCrowdfundingFINRAJOBS ACTSecurities Attorneys SEC Approves Revision to FINRA Rule Regarding Broker Dealer FINRA Filing Requirements for Private Placement Offerings Laura Anthony, Esq.June 13, 2012 On June 7, 2012 the SEC granted accelerated approval to a FINRA rule change regarding broker dealer FINRA filing requirements for ac... 023100
FINRAOTC MarketOTCBBOTCQB and OTCQXPinksheetsUncategorized SEC Grants Accelerated Approval to FINRA Rule Amendment Regarding Minimum Quotation Size Requirements for OTC Equity Securities Laura Anthony, Esq.June 19, 2012 On June 15, 2012, the SEC granted accelerated approval to an amendment to FINRA rule 6433 related to the minimum quotation size for... 023400
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
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
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
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
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
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