…Certification confirming the accuracy of the current company profile and providing information on officers, directors and controlling shareholders. All companies are required to post their initial disclosure on the OTC…
…but leave the completion of the acquisitions largely with the c-suite executives and officers. Moreover, the director’s responsibilities must take into account whether they are on the buy or sell…
…company and DTC and considerations related to governmental and quasi-governmental regulatory organizations, for many years DTC refused to have any direct dealings with companies even though the imposition of a…
…a staple for news and regulatory developments in the small and mid-cap marketplace. She is also the producer and host of LawCast.com, the Securities Law Network. Prior to founding Legal…
…Do 506(c) Offerings Allow General Solicitation And Advertising? In prior Lawcasts in this series I have been drilling down on the question of what constitutes general solicitation and advertising…
…on the DAD’s reputation for sponsoring Companies that are not of acceptable quality. In addition to providing advice and counsel to a Company, a DAD is required to conduct investigations…
…and are not afraid to file suit. Violations carry a strict liability standard and allow for recovery of attorneys fees, so even the smallest cases are winners and some attorneys…
…the disclosure laws also include certain prescriptive bright line information that must be included regardless of management’s assessment of materiality. The prescriptive rules are necessary for some information to ensure…
…unlimited number of accredited investors and up to 35 unaccredited investors, provided if any unaccredited investors are included in the offering, certain delineated disclosures are provided to all potential investors….
…obligations related to unregistered transactions under Securities Act Section 4(a)(4) on behalf of their customers, and ensuring such transactions are being conducted in accordance with securities laws. Section 4(a)(4) is…