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October 1, 2012
What Is Rule 504? Rule 504 of Regulation D is an exemption from the registration requirements of the Securities Act of 1933, as amended (the “1933 Act”) for certain companies when they offer and sell securities. How Much… Read More
Blog Posts Accredited Investor , Accredited Investor Verification , Accredited Investor Verification Provider , Crowdfund , Crowdfunding , Crowdfunding Capital Raise , Crowdfunding Financing , Crowdfunding Lawyer , Direct Listing , Direct Listing Lawyer , DPO , Equity , Equity Offering , Exempt Offering , Form D , Form D Notice , Form D Requirements , Go Public , Going Public , IPO , Non-Accredited Investor , Notice of Sales , offering circular , PPM , PPM Layer , Private Placement , Private Placement Lawyer , Private Placement Memorandum , Regulation Crowdfunding , Regulation Crowdfunding Securities Offering , Regulation D , Regulation D Attorney , Regulation D Offering , Regulation D Requirements , Regulation D Rule 504 , Regulation D Rule 504 Securities Offering Requirements , Rule 504 , Rule 504 Attorney , Rule 504 Exemption , Rule 504 lawyer , Rule 504 of Regulation D , Rule 504 Offering , Rule 504 Securities Offering , Rule 506 , Rule 506 (b) , Rule 506 Q & A , Rule 506-c , Rule 506(b) , Rule 506(b) attorney , Rule 506(b) lawyer , Rule 506(c) , Rule 506(c) lawyer , SEC Form D , SEC Registration , SEC Reporting , SEC Reporting Requirements , SEC Rule 506(c)
Posted on
September 26, 2012
Securities Lawyer 101 Blog The JOBS Act makes it easier for issuers who qualify as an emerging growth company to go public direct by exempting them from certain federal securities regulations, by reducing certain SEC reporting requirements. The JOBS… Read More
Blog Posts Direct Listing , Direct Listing Requirements , Direct Public Offering , Emerging Growth Company , Foreign Company , Form F-1 Attorney , Form F-1 Attorneys , Form F-1 Capital , Form F-1 Capital Raise , Form F-1 Law Firm , Form F-1 Law Firms , Form F-1 Lawyer , Form F-1 lawyers , Form F-1 Offering , Form F-1 Prospectus , Form F-1 Quiet Period , Form F-1 Registered Offering , Form F-1 Registered Offerings , Form F-1 Registration Statement , Form F-1 Registration Statements , Form F-1 Resale , Form F-1 Resales , Form F-1 Selling Shareholder , Form F-1 Selling Shareholder Requirements , Form F-1 Selling Stockholder , Form F-1 Selling Stockholder Requirements , Form S--1 filing , Form S-1 , Form S-1 Attorney , Form S-1 Attorneys , Form S-1 Capital , Form S-1 Capital Raise , Form S-1 filing requirements , Form S-1 Law Firm , Form S-1 Law Firms , Form S-1 Lawyer , Form S-1 lawyers , Form S-1 Listing , Form S-1 Offering , Form S-1 Prospectus , Form S-1 Quiet Period , Form S-1 Registered Offering , Form S-1 Registered Offerings , Form S-1 Registration Statements , Form S-1 Resale , Form S-1 Resales , Form S-1 Selling Shareholder , Form S-1 Selling Shareholder Requirements , Form S-1 Selling Stockholder , Form S-1 Selling Stockholder Requirements , Form S-1. Registration Statement , Go Public , Go Public Attorney , Go Public Lawyer , Going Public , Going Public Attorney , Going Public Attorneys , Going Public Law Firm , Going Public Lawyer , Going Public Lawyers , Listing , Prospectus , Prospectus Requirements , Regulation A , Regulation A Attorney , Regulation A Attorneys , Regulation A Lawyer , Regulation A Lawyers , Regulation CF , Regulation S-K , S-1 , S-1 Filing , S-1 Going Public , S-1 Registration , S-1 SEC Filing , SEC Quiet Period , SEC Reporting , SEC Reporting Obligations , SEC Reporting Requirements
Posted on
September 26, 2012
Securities Lawyer 101 Blog On June 9, 2011, the Securities and Exchange Commission (the “SEC”) issued an Investor Bulletin (the “Bulletin”) cautioning the public about risks associated with issuers that enter U.S. markets through reverse mergers with public… Read More
Blog Posts Chinese Reverse mergers , Corporate Action , FINRA 6490 , FINRA Corporate Action Request , FINRA Processing Corporate Action , FINRA Rule 6490 , Form 10 , Form F-1 , Form S--1 filing , Form S-1 , Form S-1 Attorney , Form S-1 Attorneys , Form S-1 Lawyer , Form S-1 lawyers , Form s-1 registration statement filing , Form S-1. Registration Statement , Go Public , Go Public Direct , Going Public , going public transactions , OTC Markets , OTC Pink , OTCQB , Public , Register Securities , Registration Statement , Reverse Merger , Reverse Merger Transaction , Reverse Mergers , SEC Action , SEC Alert , SEC Registration , SEC Registration Statement , SEC Reporting Requirements , SEC Rule 6490 , SEC Subpoena , SEC Suit , Section 12(b) , Section 12(g) , Securities Exchange Act , Securities Fraud , securities offerings
Posted on
September 25, 2012
Securities Lawyer 101 Blog The Securities Exchange Act of 1934 (the “Exchange Act”) grants broad authority to the Securities and Exchange Commission (“SEC”) to oversee the securities industry. The SEC’s authority includes the power to register, regulate, and overseebrokerage… Read More
Blog Posts Annual Report on Form 10-K , Beneficial Owner , current report , Current Report on Form 8-K , Current Reports on Form 8-K , Emerging Growth Company , Exchange Act , Form 10-K , Form 10-K Annual Report , Form 10-Q , Form 3 , Form 4 , Form 5 , Form 8-K , Form 8-K Current Report , Form 8-K SEC Disclosure and Requirements , Form 8k , Insider Reports , Investment Control , material information , Public Company , Schedule 13D , Schedule 13g , SEC , SEC Attorney , SEC Change of Control , SEC compliance , SEC Emerging Growth , SEC Form 3 , SEC Form 4 , SEC Form 5 , SEC Form 8-K , SEC Registration , SEC Reporting , SEC reporting issuer , SEC Reporting Requirements , SEC Schedule 13(d) , SEC Schedule 13(g) , Section 16 , Securities Exchange Act , Securities Exchange Act of 1934 , trigger events , Voting Control , What are SEC Reporting Requirements
Posted on
September 24, 2012
On September 14, 2012, the Securities and Exchange (SEC) announced today that the United States District Court for the Middle District of Florida entered final judgments against Christel S. Scucci (“Scucci”), her mother Karen S. Beach (“Beach”), their… Read More
Blog Posts Cameron Linton , County , dodd-frank , FINRA Halt , fraud , Investor Loss , Investor Victims , Officer Director Bar , Penny Stock Bar , ponzi scheme , Scalping , scam , SEC , SEC 2(e) , SEC Action , SEC Actions , SEC Administrative Proceeding , SEC anti-fraud , SEC Attorney , sec bar , SEC Bounty , SEC Charges , SEC Claim , SEC Complaint , SEC Defendant , SEC Defense , SEC Defense Attorney , SEC Defense Lawyer , SEC Division of Enforcement , SEC enforcement , SEC Fraud , SEC Injunction , SEC Law Firm , SEC Lawsuit , SEC Lawyer , SEC Litigation , SEC Penny Stock Bar , SEC Section 17(b) , SEC Subpoena , SEC Suit , SEC Trading Suspension , Section 17(b) , Section 5 violation , Securities Act , Securities and Exchange Commission , Securities Attorney , Securities Fraud , Securities Indictment , Securities Law Defense , SPAC , stock manipulation , stock scheme , Wells Notice
Posted on
September 18, 2012
Significant changes to FINRA Rule 6490 were enacted in September 2010. Though FINRA’s principal mandate is to regulate broker-dealers, historically it has always exercised some oversight of the over-the-counter markets. Part of that oversight involves processing corporate action… Read More
Blog Posts Corporate Action , FINRA 6490 , FINRA Corporate Action Request , FINRA Processing Corporate Action , FINRA Rule 6490 , Form 10 , Form F-1 , Form S--1 filing , Form S-1 , Form S-1 Attorney , Form S-1 Attorneys , Form S-1 Lawyer , Form S-1 lawyers , Form s-1 registration statement filing , Form S-1. Registration Statement , Go Public , Go Public Direct , Going Public , going public transactions , OTC Markets , OTC Pink , OTCQB , Public , Register Securities , Registration Statement , Reverse Merger , Reverse Merger Transaction , Reverse Mergers , SEC Registration , SEC Registration Statement , SEC Reporting Requirements , SEC Rule 6490 , Section 12(b) , Section 12(g) , Securities Exchange Act , securities offerings
Posted on
September 16, 2012
Securities Lawyer 101 Blog Rule 504 (“Rule 504”) of Regulation D of the Securities Act of 1933, as amended (the “Securities Act”) provides an exemption from the registration requirements of the federal securities laws which allows issuers to… Read More
Blog Posts Non-Accredited Investor , Private Placement Memorandum , Regulation D , Regulation D Attorney , Regulation D Rule 504 , Regulation D Rule 504 Securities Offering Requirements , Rule 504 Attorney , Rule 504 Exemption , Rule 504 of Regulation D , Rule 504 Offering , Rule 504 Securities Offering , Rule 506 , SEC Reporting Requirements
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September 10, 2012
Securities Lawyer 101 Blog On August 12, 2012, the SEC proposed amendments to Rule 506 of Regulation D of the Securities Act of 1933, as amended (“Regulation D”) that would allow issuers to use general solicitation and advertising… Read More
Blog Posts Accredited Investor , General Solicitation , Non-Accredited Investor , Private Placement Memorandum , Regulation D , Regulation D Attorney , Regulation D Rule 504 , Regulation D Rule 506(b) , Regulation D rule 506(c) , Rule 504 Attorney , Rule 504 Exemption , Rule 504 of Regulation D , Rule 504 Offering , Rule 504 Securities Offering , Rule 506 , Rule 506(b) , Rule 506(c) , SEC Reporting Requirements , Securities Offering Requirements
Posted on
September 5, 2012
On May of 2012, Francesca’s Holdings Corporation announced the termination of its Chief Financial Officer after an internal investigation concluded he had improperly communicated non-public company information over Twitter, which included a tweet that said “Board meeting. Good numbers =… Read More
Posted on
September 1, 2012
The Depository Trust and Clearing Corporation (“DTCC”), through its subsidiaries, provides clearing, settlement and information services for securities. DTCC’s subsidiary, the Depository Trust Company (“DTC”) was created to improve efficiencies and reduce risk in the clearance and settlement… Read More
Blog Posts 15c-211 , Depository Trust Company , Dilution , dodd-frank , DTC chill , DTC Eligibility , DTC Global Lock , DTCC , Expert Market , FINRA Halt , FINRA Processing , FINRA Rule 6490 , Forward Split , Forward Stock Split , fraud , Global lock , Investor Loss , Investor Victims , MULN , nasdaq , nyse , Officer Director Bar , OTC Markets , OTC Pink , OTCQB , Penny Stock , Penny Stock Bar , penny stock scam , penny stock scheme , penny stock sting , ponzi scheme , Public Company , Reverse Merger , reverse split , reverse stock split , Sarbanes-Oxley , Scalping , scam , SEC , SEC Action , SEC Actions , SEC Administrative Proceeding , SEC anti-fraud , SEC Attorney , sec bar , SEC Bounty , SEC Charge , SEC Charges , SEC Claim , SEC Complaint , SEC Defendant , SEC Defense , SEC Defense Attorney , SEC Defense Lawyer , SEC Division of Enforcement , SEC enforcement , SEC enforcement action , SEC Fraud , SEC Halt , SEC Injunction , SEC Investigation , SEC Law Firm , SEC Lawsuit , SEC Lawyer , SEC Litigation , SEC Penny Stock Bar , SEC Reporting Requirements , SEC Section 17(b) , SEC Subpoena , SEC Suit , SEC Trading Suspension , SEC Whistleblower , Section 17(b) , Section 5 violation , Securities Act , Securities Act Section 17(b) , Securities and Exchange Commission , Securities Attorney , Securities Fraud , Securities Indictment , Securities Law Defense , Securities Lawyer , Shell Company , SPAC , stock manipulation , Stock Scalping , stock scheme , Stock Split , Toxic Lender , trading suspension , Transfer Agent , Unregistered broker-dealer , Unregistered Dealer , Wells Notice , zombie ticker
Posted on
July 1, 2012
Securities Lawyer 101 Blog A shareholder of any company can own securities and transfer the ownership of those securities. Their ownership is reflected on the issuer’s shareholder list. A transfer agent’s role is to issue and cancel certificates to reflect… Read More
Posted on
June 30, 2012
Securities Lawyers Gone Wild Series Securities Lawyer 101 Blog In May 2012, Kelly Rogers, a Texas attorney specializing in oil and gas, was indicted by the state for stealing $2.8 million from people he persuaded to invest in… Read More
Blog Posts dodd-frank , fraud , Investor Loss , Investor Victims , nasdaq , nyse , Officer Director Bar , OTC Markets , Penny Stock Bar , ponzi scheme , Scalping , scam , SEC , SEC Action , SEC Actions , SEC Administrative Proceeding , SEC anti-fraud , SEC Attorney , sec bar , SEC Bounty , SEC Charges , SEC Claim , SEC Complaint , SEC Defendant , SEC Defense , SEC Defense Attorney , SEC Defense Lawyer , SEC Division of Enforcement , SEC enforcement , SEC Fraud , SEC Injunction , SEC Law Firm , SEC Lawsuit , SEC Lawyer , SEC Litigation , SEC Penny Stock Bar , SEC Section 17(b) , SEC Subpoena , SEC Suit , Section 17(b) , Section 5 violation , Securities Act , Securities and Exchange Commission , Securities Attorney , Securities Fraud , Securities Indictment , Securities Law Defense , Securities Lawyer , SPAC , stock manipulation , stock scheme , Wells Notice
Posted on
June 7, 2012
Securities Lawyer 101 Blog Over a year ago, the Securities and Exchange Commission (“SEC”) in an initiative known as Operation Shell-Expel, the Securities and Exchange Commission (“SEC”) suspended the trading in 379 shell companies in an effort to prevent the companies… Read More
Blog Posts dodd-frank , FINRA Halt , fraud , Investor Loss , Investor Victims , nasdaq , nyse , Officer Director Bar , OTC Markets , Penny Stock Bar , ponzi scheme , Scalping , scam , SEC , SEC Action , SEC Actions , SEC Administrative Proceeding , SEC anti-fraud , SEC Attorney , sec bar , SEC Bounty , SEC Charges , SEC Claim , SEC Complaint , SEC Defendant , SEC Defense , SEC Defense Attorney , SEC Defense Lawyer , SEC Division of Enforcement , SEC enforcement , SEC Fraud , SEC Injunction , SEC Law Firm , SEC Lawsuit , SEC Lawyer , SEC Litigation , SEC Penny Stock Bar , SEC Section 17(b) , SEC Subpoena , SEC Suit , SEC Trading Halt , SEC Trading Suspension , Section 17(b) , Section 5 violation , Securities Act , Securities and Exchange Commission , Securities Attorney , Securities Fraud , Securities Indictment , Securities Law Defense , SPAC , stock manipulation , stock scheme , Wells Notice
Posted on
February 1, 2012
Using a Registration Statement to Go Public: Form S-1 and Form F-1 Explained Securities Law | Nasdaq | NYSE | OTC Markets Listings & Compliance Introduction – How a Registration Statement Works When Going Public Private companies seeking… Read More
Blog Posts Direct Listing , Direct Listing Requirements , Direct Public Offering , Foreign Company , Foreign Issuer , Foreign Private Issuer , Form 10 , Form F-1 , Form F-1 Attorney , Form F-1 Attorneys , Form F-1 Capital , Form F-1 Capital Raise , Form F-1 Law Firm , Form F-1 Law Firms , Form F-1 Lawyer , Form F-1 lawyers , Form F-1 Offering , Form F-1 Prospectus , Form F-1 Quiet Period , Form F-1 Registered Offering , Form F-1 Registered Offerings , Form F-1 Registration Statement , Form F-1 Registration Statements , Form F-1 Resale , Form F-1 Resales , Form F-1 Selling Shareholder , Form F-1 Selling Shareholder Requirements , Form F-1 Selling Stockholder , Form F-1 Selling Stockholder Requirements , Form S--1 filing , Form S-1 , Form S-1 Attorney , Form S-1 Attorneys , Form S-1 Capital , Form S-1 Capital Raise , Form S-1 filing requirements , Form S-1 Law Firm , Form S-1 Law Firms , Form S-1 Lawyer , Form S-1 lawyers , Form S-1 Listing , Form S-1 Offering , Form S-1 Prospectus , Form S-1 Quiet Period , Form S-1 Registered Offering , Form S-1 Registered Offerings , Form S-1 Registration Statements , Form S-1 Resale , Form S-1 Resales , Form S-1 Selling Shareholder , Form S-1 Selling Shareholder Requirements , Form S-1 Selling Stockholder , Form S-1 Selling Stockholder Requirements , Form S-1. Registration Statement , Go Public , Go Public Attorney , Go Public Lawyer , Going Public , Going Public Attorney , Going Public Attorneys , Going Public Law Firm , Going Public Lawyer , Going Public Lawyers , Listing , OTC Markets , OTC Markets OTCQB , OTC QB , Prospectus , Prospectus Requirements , Regulation A , Regulation A Attorney , Regulation A Attorneys , Regulation A Lawyer , Regulation A Lawyers , Regulation CF , Regulation S-K , S-1 , S-1 Filing , S-1 Going Public , S-1 Registration , S-1 SEC Filing , SEC Quiet Period , SEC Reporting , SEC Reporting Obligations
Posted on
February 1, 2012
Rule 144 requires that a “Notice of Sale” on Form 144 be filed by any person for whose account the securities are being sold if the person is an affiliate at the time of sale, or was an affiliate… Read More
Blog Posts Affiliate , control , control person , Form 144 , Free Trading Securities , Legal Opinion , Legend Removal , Legend Removal Opinion , non-affiliate , Registration Statement , Resale , Rule 144 , Rule 144 Attorneys , Rule 144 Legal Opinion , Rule 144 legal Opinions , Rule 144 Legend , Rule 144 Legend Opinion , Rule 144 Legend Removal , Rule 144 Opinion , Rule 144 Safe Harbor , Safe Harbor , Section 5 , Tradability Opinion , Transfer Agent Opinion , unregistered securities
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January 11, 2012
Going public is a big step for any company. The process of “going public” is complex and at times precarious. While going public offers many benefits it also comes with risks and quantities of regulations with which issuers… Read More
Blog Posts Direct Listing , Direct Listing Requirements , Direct Public Offering , Foreign Company , Foreign Issuer , Foreign Private Issuer , Form 10 , Form F-1 , Form F-1 Attorney , Form F-1 Attorneys , Form F-1 Capital , Form F-1 Capital Raise , Form F-1 Law Firm , Form F-1 Law Firms , Form F-1 Lawyer , Form F-1 lawyers , Form F-1 Offering , Form F-1 Prospectus , Form F-1 Quiet Period , Form F-1 Registered Offering , Form F-1 Registered Offerings , Form F-1 Registration Statement , Form F-1 Registration Statements , Form F-1 Resale , Form F-1 Resales , Form F-1 Selling Shareholder , Form F-1 Selling Shareholder Requirements , Form F-1 Selling Stockholder , Form F-1 Selling Stockholder Requirements , Form S--1 filing , Form S-1 , Form S-1 Attorney , Form S-1 Attorneys , Form S-1 Capital , Form S-1 Capital Raise , Form S-1 filing requirements , Form S-1 Law Firm , Form S-1 Law Firms , Form S-1 Lawyer , Form S-1 lawyers , Form S-1 Listing , Form S-1 Offering , Form S-1 Prospectus , Form S-1 Quiet Period , Form S-1 Registered Offering , Form S-1 Registered Offerings , Form S-1 Registration Statements , Form S-1 Resale , Form S-1 Resales , Form S-1 Selling Shareholder , Form S-1 Selling Shareholder Requirements , Form S-1 Selling Stockholder , Form S-1 Selling Stockholder Requirements , Form S-1. Registration Statement , Go Public , Go Public Attorney , Go Public Lawyer , Going Public , Going Public Attorney , Going Public Attorneys , Going Public Law Firm , Going Public Lawyer , Going Public Lawyers , Listing , OTC Markets , OTC Markets OTCQB , OTC QB , Prospectus , Prospectus Requirements , Regulation A , Regulation A Attorney , Regulation A Attorneys , Regulation A Lawyer , Regulation A Lawyers , Regulation CF , Regulation S-K , S-1 , S-1 Filing , S-1 Going Public , S-1 Registration , S-1 SEC Filing , SEC Quiet Period , SEC Reporting , SEC Reporting Obligations
Posted on
January 5, 2012
Securities Lawyer 101 Blog To offer and sell securities in the United States, an issuer must comply with the registration requirements of the Securities Act of 1933, as amended (the “Securities Act”), or must offer and sell the… Read More
Blog Posts Accredited Crowdfunding , Accredited Investor , Accredited Investor Verification , Accredited Investor Verification Provider , Crowdfund , Crowdfunding , Crowdfunding Capital Raise , Crowdfunding Financing , Crowdfunding Lawyer , Direct Listing , Direct Listing Lawyer , Equity , Equity Offering , Exempt Offering , Form C , PPM , Private Placement , Regulation CF , Regulation CF Attorney , Regulation CF Attorneys , Regulation CF Capital Raise , Regulation CF Crowdfunding , Regulation CF Funding , Regulation CF Law Firm , Regulation CF Lawyer , Regulation CF Lawyers , Regulation CF offering , Regulation CF Requirements , Regulation Crowdfunding , Regulation Crowdfunding Attorney , Regulation Crowdfunding attorneys , Regulation Crowdfunding Lawyers , Regulation Crowdfunding Offering , Regulation Crowdfunding Reporting , Regulation Crowdfunding Requirements , Regulation Crowdfunding SEC Reporting , Regulation Crowdfunding Securities Offering , Regulation D , Rule 504 , Rule 506 , Rule 506 (b) , Rule 506-c , Rule 506(b) , Rule 506(c) , SEC Registration , Section 4(a)(6) Crowdfunding , Section 4(a)(6) Offering , SECTION 4(A)6 , Securities Act , Securities Exemption , Securities Offering , Small Business
Posted on
January 1, 2012
Registration Statement, Unregistered Securities, Safe harbor, Rule 144 safe harbor, Rule 144 legend, Rule 144 legend removal, Affiliate, Form 144, Control, Control person, Free Trading Securities, Legal Opinion, Legend Removal, Legend Removal Opinion, non-affiliate, Rule 144, Rule 144 Attorneys, Rule 144 Legal Opinion, Rule 144 legal Opinions, Rule 144 Legend, Rule 144 Legend Opinion, Rule 144 Legend Removal, Rule 144 Opinion, Section 5, Tradability Opinion, Transfer Agent Opinion, unregistered securities, Resale of Restricted Securities, Stock Resale, Resell Stock, Removal, Rule 144 Opinion, Tradability Opinion, Transfer Agent Opinion, Affiliate, Non-Affiliate, Section 5, Unregistered Securities, Free Trading Securities, Section 4(1), Resale, Secondary Sale
Blog Posts Affiliate , control , control person , Form 144 , Free Trading Securities , Legal Opinion , Legend Removal , Legend Removal Opinion , non-affiliate , Registration Statement , Removal , Resale , Resale of Restricted Securities , Resell Stock , Rule 144 , Rule 144 Attorneys , Rule 144 Legal Opinion , Rule 144 legal Opinions , Rule 144 Legend , Rule 144 Legend Opinion , Rule 144 Legend Removal , Rule 144 Opinion , Rule 144 Safe Harbor , Safe Harbor , Secondary Sale , Section 4(1) , Section 5 , Stock Resale , Tradability Opinion , Transfer Agent Opinion , unregistered securities
Posted on
December 29, 2011
Securities Lawyer 101 Blog Form D is used to file a notice of an exempt offering of securities with the Securities and Exchange Commission (“SEC”) for offerings made under Rule 504, 505 or 506 of Regulation D. Federal securities… Read More
Blog Posts Accredited Investor , Accredited Investor Verification , Accredited Investor Verification Provider , Crowdfund , Crowdfunding , Crowdfunding Capital Raise , Crowdfunding Financing , Crowdfunding Lawyer , Form C , Form D , Form D Lawyer , Offering Lawyer , Offering Memorandum Lawyer , PPM , PPM Lawyer , Private Placement , Private Placement Lawyer , Regulation CF , Regulation CF Attorney , Regulation CF Attorneys , Regulation CF Capital Raise , Regulation CF Crowdfunding , Regulation CF Funding , Regulation CF Law Firm , Regulation CF Lawyer , Regulation CF Lawyers , Regulation CF offering , Regulation CF Requirements , Regulation Crowdfunding , Regulation Crowdfunding Attorney , Regulation Crowdfunding attorneys , Regulation Crowdfunding Lawyers , Regulation Crowdfunding Offering , Regulation Crowdfunding Reporting , Regulation Crowdfunding Requirements , Regulation Crowdfunding SEC Reporting , Regulation Crowdfunding Securities Offering , Regulation D , Regulation D Lawyer , Rule 504 lawyer , Rule 506 (b) , Rule 506 Lawyer , Rule 506-c Lawyer , Securities Offering Lawyer
Posted on
November 2, 2011
Securities Lawyer 101 Blog Registration of securities on Form S-8 (“Form S-8”) is a short-form registration statement under the Securities Act of 1933, as amended (the “Securities Act”), providing significant benefits to small issuers. Form S-8 is available to… Read More
Blog Posts Employee Incentive Plan , Form 10 , Form S-1 , Form S-1 Attorney , Form S-1 Attorneys , Form S-1 Capital , Form S-1 Capital Raise , Form S-1 filing requirements , Form S-1 Law Firm , Form S-1 Law Firms , Form S-1 Lawyer , Form S-1 lawyers , Form S-1 Listing , Form S-1 Offering , Form S-1 Prospectus , Form S-1 Quiet Period , Form S-1 Registered Offering , Form S-1 Registered Offerings , Form S-1 Registration Statements , Form S-1 Resale , Form S-1 Resales , Form S-1 Selling Shareholder , Form S-1 Selling Shareholder Requirements , Form S-1 Selling Stockholder , Form S-1 Selling Stockholder Requirements , Form S-1. Registration Statement , Form S-8 , Form S-8 Registration , Form S-8 Registration Statement , Go Public , Go Public Attorney , Go Public Lawyer , Going Public , Going Public Attorneys , Going Public Lawyer , Going Public Lawyers , Prospectus , Prospectus Requirements , Regulation S-K , S-1 Going Public , SEC Effectiveness , SEC Form S-8 , SEC Quiet Period , SEC Reporting Obligations , SEC Reporting Requirements Selective Disclosure , Stock Option Plan
Posted on
October 19, 2011
FINRA Rule 6490, recently enacted in September 2010, requires issuers of securities not listed on exchanges to provide timely notice to FINRA of certain corporate actions including reverse mergers. Rule 6490 corporate actions include name changes, forward… Read More
Blog Posts 15c-211 , Alternative Reporting Standards , Bad Actor , Dilution , dodd-frank , Expert Market , FINRA 6490 , FINRA Corporate Action Request , FINRA Halt , FINRA Processing , FINRA Rule 6490 , Form F-1 , Form S--1 filing , Form S-1 , Form S-1 Attorney , Form S-1 Attorneys , Form S-1 Lawyer , Form S-1 lawyers , Form s-1 registration statement filing , Form S-1. Registration Statement , Forward Split , Forward Stock Split , fraud , Go Public , Go Public Direct , Going Public , going public transactions , Investor Loss , Investor Victims , MULN , nasdaq , nyse , Officer Director Bar , OTC Markets , OTC Pink , OTCQB , Penny Stock , Penny Stock Bar , penny stock scam , penny stock scheme , penny stock sting , ponzi scheme , Public , Public Company , Register Securities , Registration Statement , Reverse Merger , Reverse Merger Transaction , Reverse Mergers , reverse split , reverse stock split , Rule 144 , Rule 6490 , Sarbanes-Oxley , Scalping , scam , SEC , SEC Action , SEC Actions , SEC Administrative Proceeding , SEC anti-fraud , SEC Attorney , sec bar , SEC Bounty , SEC Charge , SEC Charges , SEC Claim , SEC Complaint , SEC Defendant , SEC Defense , SEC Defense Attorney , SEC Defense Lawyer , SEC Division of Enforcement , SEC enforcement , SEC enforcement action , SEC Fraud , SEC Halt , SEC Injunction , SEC Investigation , SEC Law Firm , SEC Lawsuit , SEC Lawyer , SEC Litigation , SEC Penny Stock Bar , SEC Registration , SEC Registration Statement , SEC Reporting Requirements , SEC Section 17(b) , SEC Subpoena , SEC Suit , SEC Trading Suspension , SEC Whistleblower , Section 12(b) , Section 12(g) , Section 17(b) , Section 5 violation , Securities Act , Securities Act Section 17(b) , Securities and Exchange Commission , Securities Attorney , Securities Exchange Act , Securities Fraud , Securities Indictment , Securities Law Defense , Securities Lawyer , securities offerings , Shell Company , SPAC , stock manipulation , Stock Scalping , stock scheme , Stock Split , Toxic Lender , trading suspension , Transfer Agent , Unregistered broker-dealer , Unregistered Dealer , Wells Notice , zombie ticker
