…SEC Disclosure Requirements and The Regulation S-K Concept Release- Today is the continuation in a Lawcast series discussing SEC disclosure requirements and in particular the 341 page Regulation S-K…
…this is one of the reasons that OTC Markets created the OTCQX Market tier, which does not list penny stocks. It is also the reason that the small- and micro-cap…
…DTC Eligibility, DTC Chills And Global Locks For OTC Markets Companies- In the first Lawcast in this series I discussed generally what the DTC is and the basic eligibility…
…Entire Fairness Standard- In the last three Lawcasts in this series I discussed the responsibilities of the board of directors and in particular their fiduciary duties related to merger…
…Rule 506(c) Exemption- Only Accredited Investors May Invest In A Rule 506(c) offering- In prior Lawcasts in this series I have talked about the fact that only accredited investors…
…the issuance 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…
…The Depository Trust Company And DTC Eligibility Requirements- DTC stands for the Depository Trust Company. DTC is a central securities depository in the U.S. which was originally created as…
…the quotation requirements for OTC equity services by inter-dealer quotation services, I touched upon the significance of penny stock rules related to the OTC marketplace. As further described herein, penny…
…Section 16 Requirements- Under Section 16, every person who is an insider must file an initial statement on Form 3 within 10 days of the event triggering such filing…
…Sections 13 And 16 Reporting Requirements- Sections 13 and 16 are individual SEC reporting requirements for officers, directors and greater than 5% shareholders of publicly reporting companies. Section 13…