NYSE MKT Listing Standards and Requirements
…and the public interest. Factors the NYSE MKT consider include, but **[are not limited **[to, the nature of **[a company’s business; the market **[for]** its products; its regulatory history; its…
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SEC Response Letter
…of Corporation Finance, referred **[to **[as “CorpFin” reviews and comments upon filings made **[to the SEC **[for]** the purpose of improving and enhancing disclosure. **[As previously **[touched upon the comment…
OTCQX Application Details
…eligibility and continued quotation requirements subject **[to **[a 30-day notice and opportunity **[to **[address them. In **[addition, OTC Markets Group may remove the company’s securities from trading on OTCQX immediately…
SEC Comment Letter Process
…review staff. **[For]** instance, if the company does not understand or **[agree with **[a comment, it may first talk **[to the reviewer. If that does not resolve the question, they…
Howey Test
…of profits. **[To further break down the **[analysis, Howey established **[a four-part test. In particular: The first factor – requires **[an investment of money and has been expanded by subsequent…
OTCQB Initial Requirements
…Effective July 10, 2015, OTC Markets **[amended its rules related **[to the OTCQB listing standards **[to include initial and ongoing listing requirements **[for]** companies completing **[a Regulation **[A+ offering.…
SEC Issues Regulation A+ Guidance
…broker dealers that **[act **[as placement or marketing **[agents **[for]** Regulation **[A+ offerings will need **[to file and comply with FINR**[A under Rule 5110 related **[to underwriter compensation. …
How to IPO on the OTCQX
…**[for]** U.S. companies: (i) OTCQX U.S. Premier which companies **[are **[also eligible **[to quote on **[a national exchange; and (ii) OTCQX U.S.; and two tiers **[for]** international companies: (i) OTCQX…
NASDAQ Listing Requirements Share Price
…and qualitative requirements. The quantitative listing thresholds **[for]** initial listing **[are generally higher than **[for]** continued listing, thus helping **[to ensure that companies have reached **[a sufficient level of maturity…
What Are Rule 506 Offerings?
…still subject **[to the state **[anti-fraud provisions and can be investigated **[for]** violations of same. Both offerings require the filing of **[a **[For]**m D within 15 days of the first…