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Definition of a Security

…The concept of defining **[a security is fundamental **[to knowing the **[application of the securities laws in general and the specific **[ability **[to rely on specific rights and exemptions,…

OTCQX Advisor and PAL

…must be **[approved by OTCQX **[after submitting **[an **[application. Eligibility **[to **[act **[as **[an OTCQX **[Advisor or PAL is limited **[to experienced and qualified securities **[attorneys or qualified FINR**[A member…

NYSE MKT Listing Requirements

…the current NYSE MKT. The NASDAQ and NYSE MKT **[are ultimately business operations vying **[for]** **[attention and competing **[to **[attract the best publicly traded companies and investor following. **[Although there…

The Howey Test and Investment Contracts

…In the last Lawcast I talked **[about the “Howey Test” **[for]** determining when **[an investment contract is **[a security. The Howey Test has been **[applied **[to find that many…

Going Public Attorney

…semiannual 1-S**[A (rather than the quarterly 10-Q) and fewer events triggering **[For]**m 1-U (compared **[to **[For]**m 8-K). The rules **[also provide **[for]** **[a suspension of reporting obligations **[for]** **[a Regulation…

OTCQB Disclosure and Certification Requirements

…**[applicable, and shall have posted in English through the OTC Disclosure & News Service, the information required **[to be made publicly **[available pursuant **[to Rule 12g3-2(b) **[for]** the preceding 24…

Regulation S-K Concept Release

…**[for]** public comment on sweeping changes **[to certain business and financial disclosure requirements in Regulation S-K. The Reg S-K Concept Release is part of the SEC Disclosure Effectiveness Initiative mandated…

OTC Markets, OTCQX Benefits, and NASDAQ

…broker-dealer cannot recommend **[a penny stock transaction **[to its retail clients, and therefore, no **[analysts, financial **[advisors, or institutional investors make recommendations **[for]** purchases of penny stocks. **[As **[an **[aside,…

SEC Regulation S-X

…other things, **[a reconciliation **[to the GAAP number. The **[topic has been the subject of **[a multitude of recent trade journals and **[articles. There **[are very valid reasons **[for]** using…

Advantages and Disadvantages of a Reverse Merger

…Having your “ducks in **[a row” includes having completed **[audited financial statements **[for]** the prior two fiscal years and quarters up **[to date (or from inception if the company is…