What is Form 211? Rule 15c-211, Sponsoring Market Maker Requirements
Locating a sponsoring market maker to file the Form 211 under Rule 15c-211 has become a challenging step in the going public…
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What is a NYSE Control Company Anyway? NYSE Attorneys
Public Companies that qualify as a "Controlled Company" with securities listed on the Nasdaq Stock Market (NASDAQ) or the New York Stock Exchange (NYSE), must comply…
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The Bad Actor Rule of Rule 506(d) – Securities Lawyer 101
Rule 506(c) is not available to certain bad actors. The bad actor rule prohibits an issuer from relying on the exemption if…
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