Law Blog Tag: Securities Exchange Act of 1934
SEC Proposed Executive Compensation Clawback Rules
August 03, 2015 in C&DI, Clawback Rules, SEC, Securities Attorney, Securities Attorneys, Securities Law Firm, Uncategorized
The ECOS Matter; When Is A Reverse Split Effective?
September 30, 2014 in FINRA, FINRA Compliance, OTC Market, Reverse Split, Rule 10b-17, Small Cap Market, Uncategorized
SEC Proposes Rules for Regulation A+
February 25, 2014 in Crowdfunding, Form 10, Form 10-Q, JOBS ACT, Regulation A, Regulation A+, Regulation D, Rule 144, SEC Rule 15c2-11, Securities Attorneys
The SEC Establishes Key Exemption to the Broker-Dealer Registration Requirements for M&A Brokers
February 18, 2014 in Broker Dealer Registration Requirements, Broker-Dealer, Going Public, JOBS ACT, JOBS ACT and Crowdfunding, Rule 144, Rule 506, Section 12, Securities Attorneys, Uncategorized
A Basic Overview of Rule 144
February 11, 2014 in Rule 144, Rule 144 Legal Opinions, Rule 144 Opinion Letters, Rule 144A, Section 3(a)(9), Securities Attorneys
Direct Public Offering or Reverse Merger; Know Your Best Option for Going Public
January 21, 2014 in Broker-Dealer, Direct Public Offering (DPO), Due Diligence, FINRA, Form 10, Funding Portals, Going Public, Going Public Attorneys, Merger Transaction, NASDAQ, OTC Market, OTCBB, OTCQB and OTCQX, Private Investment in Public Equity (PIPE), Public Shell Company, Reverse Mergers, Rule 144, S-1 Registration Statement, SEC Rule 15c2-11, Securities Attorneys, Uncategorized
Proposed Crowdfunding Rules – Part II
December 03, 2013 in Crowdfunding, FINRA, Form C, Funding Portals, JOBS ACT, JOBS ACT and Crowdfunding, Securities Attorneys
Proposed Crowdfunding Rules – Part I
November 19, 2013 in Crowdfunding, FINRA, Form C, Funding Portals, JOBS ACT, JOBS ACT and Crowdfunding, Rule 506, Section 4(a)(6), Securities Attorneys