Securities Attorneys A Comprehensive Analysis of Section 5 Laura Anthony, Esq.December 29, 2009 Section 5 of the Securities Act of 1933, as amended, contains the basic registration requirements for all offerings and rules of sec... 019700
Broker-DealerDodd-Frank ActJOBS ACTJOBS ACT and CrowdfundingRule 144ARule 506S-1 Registration StatementSecurities Attorneys An Overview of Exemptions for Hedge Fund Advisers: Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers with Less Than $150 Million in Assets Under Management, and Foreign Private Advisers – Part I Laura Anthony, Esq.May 16, 2013 027500
Mergers And AcquisitionsSecurities Attorneys Board of Directors Obligations as Applied to Mergers and Acquisitions Laura Anthony, Esq.October 30, 2013 028300
CrowdfundingFunding PortalsJOBS ACTJOBS ACT and CrowdfundingSecurities Attorneys Crowdfunding Requirements For Issuers Laura Anthony, Esq.May 23, 2012 On April 5, 2012 President Obama signed the JOBS Act into law. Part of the JOBS Act is the Crowdfunding Act, the full title of which... 020900
Blank Check CompaniesDirect Public Offering (DPO)Form 10Form S-1OTC MarketPublic Shell CompanyRule 144Rule 419S-1 Registration StatementSEC GuidanceSmall Cap MarketUncategorized Direct Public Offerings by Shell Companies- Tread Carefully Laura Anthony, Esq.July 29, 2014 058100
Depository Trust Company (DTC)DTC ChillDTC EligibilityDTC Global LocksForm 10Global LockRule 144Securities AttorneysWhite Paper DTC Has Published Proposed Rules Related To Chills and Locks Laura Anthony, Esq.January 28, 2014 030300
Depository Trust Company (DTC)DTC ChillDTC EligibilityDTC Global LocksGlobal LockRule 144Securities AttorneysWhite Paper DTC Unveils Procedures and Plans for a Rule Change that Applies to Issuers Affected By Chills and Locks Laura Anthony, Esq.October 8, 2013 033700
Mergers And Acquisitions Merger and Acquisitions – Board of Director Obligations, Part 5 Laura Anthony, Esq.May 9, 2011 This article continues my series on obligations (and rights and responsibilities) of the board of directors during a merger and acqu... 021000
Broker-DealerCrowdfundingJOBS ACTJOBS ACT and CrowdfundingNASDAQRegulation DRule 144Rule 506 NASDAQ To Acquire Sharepost And Create The NASDAQ Private Exchange Laura Anthony, Esq.March 11, 2013 019200
CrowdfundingJOBS ACTJOBS ACT and CrowdfundingRule 144ARule 506Section 4(2)Section 4(a)(2)Securities Attorneys Proposed Rules Eliminating the Prohibition Against General Solicitation and Advertising in Rules 506 and 144A Offerings – Part I Laura Anthony, Esq.September 4, 2012 As required by Title II of the JOBS Act, the SEC has published proposed rules eliminating the prohibition against general solicitati... 024500