Section 4(a)(1) Exemption
…common exemption relied upon is Section 4(**[a)(1) and the Rule 144 safe harbor under Section 4(**[a)(1). Section 4(**[a)(1) provides **[an exemption **[for]** **[a transaction “by **[a person other than **[an…
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NASDAQ Requirements and Corporate Governance Standards
…members. In **[addition, there **[are **[additional independence test **[for]** compensation committee members. The compensation committee must determine, or recommend **[to the full board **[for]** determination, the compensation of the chief…
Section 13 Exchange Act
…of beneficial ownership, and plans or proposals regarding the issuer. The term “beneficial owner” is defined **[to include “**[any person who, directly or indirectly, through **[any contract, **[arrangement, understanding, relationship…
Regulation A+ – Sale And Resale Of Equity Securities
…not preempt state law, **[allows **[for]** **[a raise of up **[to $20 million in **[any 12-month period and Tier II, which does preempt state law, **[allows **[a raise of up…
NASDAQ Listing Requirements and the Definition of Independent Director
…period of 12 consecutive months within the prior 3 years other than (**[a) compensation **[for]** serving **[as **[a director, (b) compensation **[to **[a family member who is **[an employee but…
Securities Law Blogs
…Securities Law Blog is **[an Essential Resource **[for]** OTC Issuers, SEC **[Attorneys, Broker Dealers, Transfer **[Agents, Small and Mid-Cap Public Companies, Deal Makers, and **[All Other OTC Market Professionals.…
Pink Sheet OTC Markets
…**[Today I **[am continuing my discussion on the OTC Pink marketplace and quotation criteri**[a. The OTC Pink, which includes the highest-risk, highly speculative securities, is further divided in**[to three…
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…and **[all questions regarding Securities Law, Securities Law Firms, Securities **[Attorneys and OTCMarkets.com Be sure **[to visit SecuritiesLawBlog.com, the OTC industry’s primary source **[for]** news and regulatory developments.…
Pink Sheet Attorneys
…**[a one-time set-up fee of $500. Because of the **[aforementioned criteri**[a, details determine diligence, and it is highly **[advisable **[for]** Issuers **[to retain **[an OTC securities **[attorney or **[a small-cap…
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…the essential resource **[for]** small and emerging growth companies, investment bankers and broker dealers, **[attorneys, **[accountants and independent **[auditors, transfer **[agents, and virtually everyone interested in the small-cap and lower…