CrowdfundingIPOJOBS ACTJOBS ACT and CrowdfundingReverse MergersSecurities AttorneysUncategorized Crowdfunding 101 Laura Anthony, Esq.April 16, 2012 As I recently blogged, the President has signed the Jobs Act including the much anticipated Crowdfunding bill. Crowdfunding is a pr... 023100
CrowdfundingJOBS ACTRegulation DReverse MergersSarbanes-Oxley Act of 2002SEC GuidanceSecurities AttorneysUncategorized Crowdfunding Act Signed Into Law Laura Anthony, Esq.April 16, 2012 On April 5, 2012 President Obama signed the JOBS Act into law. In accordance with the JOBS Act requirement that all crowdfunding pl... 025000
Direct Public Offering (DPO)Going PublicRegulation DRule 506 Direct Public Offerings And The Internet Laura Anthony, Esq.June 16, 2010 In today’s financial environment, many Issuers are choosing to self underwrite their public offerings, commonly referred to as a Dir... 029300
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
Depository Trust Company (DTC)DTC ChillDTC EligibilityDue DiligenceFINRAOTC MarketOTCBBOTCQB and OTCQXPinksheetsReverse Mergers DTC Eligibility and the OTC Issuer Laura Anthony, Esq.October 5, 2011 This is the first in a series of articles I am writing regarding DTC (Depository Trust Company) eligibility for OTC (Over the Counte... 041100
Depository Trust Company (DTC)DTC EligibilityOTC MarketOTCBBOTCQB and OTCQXPinksheets DTC Eligibility and the OTC Issuer (Part 2) Laura Anthony, Esq.October 10, 2011 This is the second in a series of articles regarding DTC (Depository Trust Company) eligibility for OTC (Over the Counter) Issuers.... 035100
Depository Trust Company (DTC)DTC EligibilityForm 10OTC MarketOTCBBOTCQB and OTCQXPinksheets DTC Eligibility and the OTC Issuer (Part 3) Laura Anthony, Esq.November 3, 2011 This is the third in a series of articles I am writing regarding DTC (Depository Trust Company) eligibility for OTC (Over the Counte... 041600
14c Information StatementOTCBBSchedule 14ASchedule 14CSEC GuidanceSEC Proxy RulesSEC Schedule 14ASection 14Securities AttorneysUncategorized Elements Constituting “Solicitation” Such that a 14A Proxy Solicitation is Required Instead of a 14C Information Statement Under the Section 14 Proxy Rules of the Securities Exchange Act of 1934 Laura Anthony, Esq.October 20, 2009 Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord... 062500
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
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