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…
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Public Company SEC Reporting Requirements -SEC Requirements to Go Public
Public Company SEC Reporting Requirements - SEC Requirements to Go Public, Going Public Attorneys. Companies filing registration statements with the SEC become…
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What Is SEC Form 5 – SEC Reporting Requirements- Securities Lawyer 101
Section 16 insiders must file an Annual Statement of Changes in Beneficial Ownership on Form 5 if there are any transactions in…
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Short Sale – Q & A – Short Seller Rules – Regulation SHO Lawyers
A short sale transaction can be part of a legitimate trading strategy if done legally. Illegal Short selling...
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Regulation A Testing the Waters – Securities Lawyer 101
Once you publicly file your Form 1-A offering statement, the solicitation materials must be followed by a current preliminary offering circular or…
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Form S-3 Registration Statement Eligibility and Requirements
Form S-3 is a short-form registration statement that consists primarily of information about the specific transaction. Form S-3 provides an opportunity not…
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Regulation A+ Q & A – Regulation A+ Going Public Lawyers
Regulation A provides an exemption from registration that can be used in conjunction with a going public transaction. Regulation A has two…
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Practical Considerations in Regulation A+ Offerings
Regulation A offers an alternative to the traditional methods of filing a Registration Statement on Form S-1 or Form F-1 to raise…
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Regulation A Investor Bulletin Issued by SEC
In April of this year, NASDAQ submitted a proposal related to the Regulation A Offering Exemption which would require any Company listing…
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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,…
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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…
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What is an Annual Report on Form 10-K? Securities Lawyer 101
Form 10-K requires, item by item, disclosures by referring to specific item numbers of Regulation S-K and Regulation S-X. Sarbanes-Oxley Act requires…
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Public Company SEC Reporting Requirements – Form S-1 Disclosures
Once the SEC staff declares your company’s Securities Act registration statement on Form S-1 effective, the public company becomes subject to the…
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