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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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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Can Finders Raise Money Q & A – Going Public Lawyers
Finders may become involved in various securities transactions including matters other than raising capital, including reverse mergers and Direct Public Offerings. A…
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