Rule 15c2-11 Compliance Deadline Is Just Around the Corner
In September of last year, the Securities and Exchange Commission (the “SEC”) adopted amendments to Securities Exchange Act Rule 15c2-11. In early 2020, we…
Read More
SEC Amends Rule 15c2-11, Form 211 Amendments
On September 16, 2020, SEC amended Exchange Act Rule 15c2-11 and Form 211. Changes to Rule 15c2-11 were proposed last year. The OTC…
Read More
Our Comment to the SEC Regarding Rule 211 (15c2-11) – Sponsoring Market Makers
Blue Sky, Form 211, Regulation A, Regulation A Secondary Sales, Regulation A Tier 2, Regulation A+. Tier 1, Reporting Company, Rule 15c2-11,…
Read More
SEC Proposes Rule 15c2-11 Changes – Form 15c-211 Attorneys
The object of the new proposed changes to Rule 15c2-11 is the same as it was in 1998 and 1999: to cut…
Read More
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…
Read More
Section 4(a)(2) and Rule 506(b) Exempt Offerings – Securities Lawyer 101
Section 4(a)(2) of the Securities Act of 1933, as amended (the “Securities Act”) exempts Rule 506(b)securities offerings from the SEC’s registration requirements…
Read More
