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Rule 506 of Regulation D

…506 Of Regulation D- The historical Rule 506 was renumbered to Rule 506(b) and issuers have the option of completing offerings under either Rule 506(b) or 506(c). Rule 506(b) allows…

Depositing Penny Stocks with Broker Dealers

…LawCast- Depositing Penny Stocks with Broker Dealers Gets Tougher in Wake of E*TRADE Penalty-Part 1. In last week’s blog regarding FINRA’s request to eliminate the OTC Bulletin Board quotation…

…of securities to the private company shareholders must either be registered under Section 5 of the Securities Act or use an available exemption from registration. Generally, shell companies rely on…

Do 506(c) Offerings Allow General Solicitation And Advertising?

…undertakes; (ii) sending an introductory e-mail; (iii) contacting the prospective member online to answer questions; (iv) utilizing third-party credit reporting services to confirm the member’s identity and to gather additional…

Penny Stock Rules That Govern Broker Dealers

…LawCast- Penny Stock Rules That Govern Broker Dealers- On October 9, 2014, the Securities and Exchange Commission (“SEC”) filed an enforcement action against E*Trade Securities and E*Trade Capital Markets…

Using Social Media for Corporate Announcements

…LawCast- Legal & Compliance, LLC- Using Social Media for Corporate Announcements. On April 21, 2014, the SEC updated its Division of Corporation Finance Compliance and Disclosure Interpretations (C&DI) to…

Securities Attorney

…Securities Law Attorney- How To Go Public On OTC Markets? The two most common ways to go public is either through a reverse merger or an initial public offering….

Direct Public Offering

…are choosing to self-underwrite their public offerings, commonly referred to as a Direct Public Offering (DPO). Management of companies considering a going public transaction have a desire to understand the…

SEC Issues Regulation A+ Guidance

…SEC Issues Regulation A+ Guidance- The new Regulation A+ rules took effect on June 19, 2015. Tier I of Regulation A+ allows for a raise of up to $20…

Rule 83

…The Confidential Treatment of Materials Under Rule 83- As discussed in the prior Lawcasts in this series, The SEC Division of Corporation Finance, referred to as “CorpFin” reviews and…