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
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
Securities Attorneys Section 4(6) Registration Exemption for Accredited Investors Laura Anthony, Esq.January 28, 2010 Section 4(6) provides a registration exemption for offerings to accredited investors, if the aggregate offering amounts up to the do... 019700
Insider TradingSecurities AttorneysUncategorized Securities Attorneys Must Self-Regulate to Avoid Potential Insider Trading Pitfalls Laura Anthony, Esq.October 30, 2009 Attorneys who accept stock as compensation from public companies need to be aware of a vigilant regarding their insider trading obli... 022800
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... 026000
Spin-Off Subsidiary Spin-Offs Laura Anthony, Esq.August 4, 2010 A subsidiary spin-off is a transaction where a parent corporation’s stock ownership of a subsidiary is distributed to the parent cor... 023000