Understanding Rule 15c2-11 Current Information Standard
The SEC’s Rule 15c2-11 “Current Information” standard is the foundation of OTC Markets compliance. It requires that broker-dealers may publish or maintain…
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SEC and FINRA Enforcement Trends in the OTC Market
The have intensified enforcement in the OTC Markets. The focus has shifted sharply toward broker-dealer gatekeeper obligations, fraudulent stock promotions, and manipulative…
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SEC Amends Accredited Investor Definition – Rule 506 Offerings
Rule 506 Offerings are the most common of the Regulation D exemptions from registration under the Securities Act of 1933, as amended…
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SBA Offers Small Business Loans in Response to Coronavirus – COVID-19
U.S. Small Business Administration Offers Funding in Response to COVID-19. The Coronavirus Preparedness and Response Supplemental Appropriations Act (the “Act”), passed with…
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Will Going Public Help Me Raise Capital? Going Public Attorneys
Going public is frequently used as a stepping stone by companies seeking to raise capital.
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