An Update On Dealing With The DTC Following The SEC’s Ruling On International Power Group, Ltd.
Back in October and November of 2011, I wrote a series of blogs regarding DTC eligibility for OTC (over-the-counter) Issuers. OTC I...
Home Posts Tagged "sec" (Page 3)
PIPE Transactions, Terms and Requirements
A PIPE (Private Investment in Public Equity) transaction is typically a private placement of equity or equity-linked securities by a...
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SEC Strategic Plan
On June 19, 2018, the SEC published a draft Strategic Plan and requested public comment on the Plan. The Strategic Plan would guide...
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New FINRA Rule 5123 Takes Effect Requiring Notice of Private Placements by Member Firms
The Financial Industry Regulatory Authority has adopted new Rule 5123 requiring members to file notice of their participation in pri...
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SEC’s Financial Disclosure Requirements For Sub-Entities Of Registered Companies
As required by the JOBS Act, in 2013 the SEC launched its Disclosure Effectiveness Initiative and has been examining disclosure requ...
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