DTC Eligibility and the OTC Issuer (Part 2)
This is the second in a series of articles regarding DTC (Depository Trust Company) eligibility for OTC (Over the Counter) Issuers....
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DTC Eligibility and the OTC Issuer
This is the first in a series of articles I am writing regarding DTC (Depository Trust Company) eligibility for OTC (Over the Counte...
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Convertible Promissory Notes; Flexible Financing Options
I have explored the topic of promissory notes in previous articles. This analysis shall specifically concentrate on convertible prom...
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An Introduction to Promissory Notes
A promissory note is a written promise by a person, persons or entity to pay a specific amount of money (called "principal") to anot...
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S-8 Stock, Use and Misuse
A Form S-8 registration statement is popular with small business issuers as it becomes effective immediately upon filing and allows...
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SEC Approves BX Venture Market
The SEC has recently approved the NASDAQ OMX Group, Inc.’s application to form the BX Venture Market (“BX Market”) as an alternative...
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Filing Deadlines for Exchange Act Quarterly and Annual Reports
Companies subject to the reporting requirements of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) are required...
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Mergers and Acquisitions – The Acquisition Agreement
Simply stated, the acquisition agreement sets forth the financial terms of the transaction and legal rights and obligations of the p...
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Public Company Compliance – Selecting An Auditor
he Sarbanes Oxley Act of 2002 (SOX) created the PCAOB, which is the Public Company Accounting Oversight Board. All public company a...
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Merger and Acquisitions – Board of Director Obligations, Part 5
This article continues my series on obligations (and rights and responsibilities) of the board of directors during a merger and acqu...
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