OTCQX Requirements, Rules, and Standards
…**[Today is the first Lawcast in **[a series detailing the OTCQX listing requirements. OTC Markets made changes **[to the quotations rule and standards **[for]** the OTCQX, which changes went…
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Reg A+ Tier 2 Offerings Preempt State Law
…Tier 2 offerings present **[a much needed opportunity **[for]** smaller companies **[to go public without the **[added time and expense of state blue sky compliance but with **[added investor…
Offering Statement Requirements For Regulation A+
…primarily designed **[to confirm and determine eligibility **[for]** the use of the **[For]**m and **[a Regulation **[A offering in general. Part I will include issuer name and identifying information; issuer…
Rule 506(c) Exemption
…the Rule itself, giving companies, and practitioners, **[a firm foundation **[for]** creating industry practices. First, in considering what is reasonable under the facts and circumstances, the company should consider (i)…
DTC Chill Or Global Lock Removal
…should be imposed. If DTC determines that **[a chill may be warranted, it will send **[a letter **[to the company and provide **[an opportunity **[for]** the company **[to respond with…
Penny Stock Rules That Govern Broker Dealers
…not, in and of itself, **[an exemption from registration. Section 4(**[a)(4) **[allows brokers **[to process the sale of unregistered securities where there is **[a valid exemption from such registration. The…
NASDAQ Listing Requirements
…experience, I know that NASDAQ pays close **[attention **[to trading volume and liquidity of **[applicants. NASDAQ has **[a valid concern that either once trading volume picks up, **[a company’s price…
506(b) and 506(c) Offerings
…cannot simply check **[a box or self-verify. Rule 506 **[allows **[for]** **[any and **[all **[for]**ms of **[advertising and solicitation subject only **[to the **[anti-fraud limitations. Since **[a company cannot control…
Regulation S-K and XBRL Tagging
…**[for]** public comment issued by the SEC on **[April 15, 2016. I **[am continuing **[a review of the various specific **[topics discussed in the Regulation S-K concept release. First –…
The SEC Comment And Response Process
…they can open the door **[to **[additional review and comments. Comments related **[to **[accounting treatment and the flow-through **[to MD&**[A can be especially tricky and open the door **[to further…