Regulation S-K Concept Release
…Regulation S-K Concept Release- Today is the continuation in a Lawcast series discussing SEC disclosure requirements. On April 15, 2016, the SEC issued a 341-page concept release and request…
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NASDAQ Listing Requirements
…NASDAQ Listing Requirements- Today is the first Lawcast in a series discussing NASDAQ listing requirements. The NASDAQ Stock Market currently has three tiers of listed companies: (1) The NASDAQ…
OTCQB Disclosure and Certification Requirements
…LawCast- Legal & Compliance, LLC- OTCQB Initial Disclosure and Certification Requirements. All companies are required to post their initial disclosure on the OTC Markets website and make an initial…
Going Public On The OTC Market
…found in Exchange Act Rule 12g-2(b) and be current and compliant in such requirements or be a bank current in its reporting obligations to its bank regulator; Not be in…
Securities Attorney Laura Anthony
…Ms. Anthony and the Legal & Compliance team have represented buyers, sellers, underwriters, placement agents, investors, and shareholders in mergers, acquisitions and corporate finance transactions valued in excess of $1…
Section 4(a)(1) Exemption
…Section 4(a)(1) Exemption- Just like for an issuer, when a shareholder sells or transfers shares that sale or transfer must either be registered or exempt from registration. The most…
506(b) and 506(c) Offerings
…Complete 506(b) and 506(c) Offerings- Both Rule 506 offerings are promulgated under Section 4(a)(2) of the Securities Act of 1933 and both pre-empt state law under the National Securities…
The Howey Test and Investment Contracts
…non-traditional investments are a security. So for instance, in a later case, the court found that sale of shares in a housing cooperative that were bundled with the cost of…
NYSE MKT Listing Standards and Requirements
…NYSE MKT Listing Standards and Requirements- A company seeking to list securities on NYSE MKT must meet minimum listing requirements, including specified financial, liquidity and corporate governance criteria. NYSE…
OTCQX Disclosure Obligations and Fees
…conditions or undertakings prior to admission. Moreover, the application may be denied if, in the opinion of OTC Markets, trading would be likely to impair the reputation or integrity of…