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Rule 506(c) Exemption

…take to verify the status, and vice versa. Examples of the type of information that companies can review and rely upon include: (i) Publicly available information in filings with federal,…

The SEC Releases Final Rules Amending Regulation A

…comply with applicable state law related to such solicitation and advertising, including any prohibitions related to same. Regulation A+ allows for pre-qualification solicitations of interest in an offering commonly referred…

OTCQX Application Details

…All U.S. companies that are quoted on the OTCQX must submit an application and pay an application fee. The application consists of (i) the application with information related to…

Section 13 Exchange Act

…also requires disclosure of plans to acquire additional securities, takeover plans and material contracts with the Issuer. Moreover, the person must disclose the history of transactions including where the funds…

Regulation S-K and Risk-Related Disclosures

…push for particular material risk factors and not boilerplate industry risks. For example a risk that refers to the general state of the economy and that a company’s business would…

Advantages and Disadvantages of a Reverse Merger

…less than two years old), and having the information that will be necessary to file with the SEC readily available. The SEC requires that a public company file Form 10…

SEC Issues Regulation A+ Guidance

…securities held by 2,000 persons to register and report with the SEC. Third, securities sold in a Regulation A+ offering are freely tradeable. That is, they are not restricted under…

NASDAQ Listing Requirements

…deny an application, even if the technical requirements are met, if it believes such denial is necessary to protect investors and the public interest. Although not in the rules, through…

The Role of the Going Public Attorney on the OTCQB

…Today I will continue that discussion and include the role of the “going public attorney” as we are sometimes referred to. As previously discussed, an OTCQB listing is available…

Eligibility Requirements for OTCQX

…Recognized Securities Manual or be subject to the reporting requirements of the Exchange Act; and Have an OTCQX Advisor – previously called a designated advisor for disclosure or DAD…