SEC Disclosure Requirements and Regulation S-K
…SEC Disclosure Requirements and Regulation S-K- Today is the continuation in a Lawcast series discussing SEC disclosure requirements and in particular the 341 page concept release and request for…
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Bringing Delinquent Filers Current
…LawCast- Bringing Delinquent Filers Current SEC Delinquent Filers Program In 2004 the Securities and Exchange Commission (“SEC”) instituted the Delinquent Filers Program and created the Delinquent Filers Branch as…
Ongoing Responsibilities on the OTCQX Market
…companies, maintain qualification under Exchange Act Rule 12g3-2(b); (ii) Companies not subject to the Exchange Act reporting requirements must maintain current information on OTC Markets; (iii) quickly release disclosure of…
SEC Section 16 Filings
…SEC Section 16 Filings- Under Section 16, every person who is an insider, including officers, directors and 10% shareholders, must file an initial statement on Form 3 and file…
SEC Reporting Companies and Disclosure Requirements
…SEC Reporting Companies and Disclosure Requirements- Today is the continuation in a Lawcast series discussing SEC disclosure requirements and in particular the 341 page Regulation S-K concept release and…
Regulation S-K and Risk-Related Disclosures
…Regulation S-K and Risk-Related Disclosures- Today is the continuation in a Lawcast series discussing SEC disclosure requirements and in particular the 341 page Regulation S-K concept release and request…
NYSE MKT Application
…NYSE MKT Application- A company seeking to list securities on NYSE MKT must meet minimum listing requirements, including specified financial, liquidity and corporate governance criteria. I have previously discussed…
NASDAQ Requirements and Corporate Governance Standards
…NASDAQ Requirements and Corporate Governance Standards- All NASDAQ companies are required to comply with stringent corporate governance standards. The categories of corporate governance include: (1) Distribution of Annual or…
NASDAQ Listing Requirements and the Seasoning Rule
…NASDAQ Listing Requirements and the Seasoning Rule- The seasoning rules were adopted in late 2011 by multiple national exchanges, including NASDAQ in response to a request from the SEC…
Regulation S-K and Item 101 and 102 Disclosure Requirements
…Regulation S-K and Item 101 and 102 Disclosure Requirements- Today is the continuation in a Lawcast series discussing SEC disclosure requirements and in particular the 341 page Regulation S-K…