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…and intended source of financing **[for]** those plans. **[An Issuer cannot simply state that it plans **[to open 10 new locations, but instead would be required **[to provide details **[as…

…“offer” or “sell” securities without **[a valid effective registration statement unless **[an exemption is **[available. Companies desiring **[to offer and sell securities **[to the public with the intention of creating…

…the bulk of narrative discussion in **[a registration statement and is **[arguably the most important portion of the registration statement **[for]** investors **[to understand the Issuer and its management plans.…

…costs and intended source of financing **[for]** those plans. **[An Issuer cannot simply state that it plans **[to open 10 new locations, but instead would be required **[to provide details…

…1933, **[as **[amended (“Securities **[Act”), it is unlawful **[to “offer” or “sell” securities without **[a valid effective registration statement unless **[an exemption is **[available. Companies desiring **[to offer and sell…

…**[approves the customer **[for]** the specific penny stock transaction and receives from the customer **[a written **[agreement **[to the transaction; (ii) furnishes the customer **[a risk disclosure document describing the…

…**[to the beneficial owners in the liquidation of the shares of the microcap issuers (see examples below); Requests received from FINR**[A **[for]** information relating **[to certain issuers and the broker-dealers’…

…the filing of the registration statement; the “resale” registration statement must be on the **[for]**m that the company is eligible **[to use **[for]** **[a primary offering; and in the prospectus,…