SEC Dealer Rule Collapse: Impact on Toxic Lenders & OTC Penny Stocks
Learn how the SEC's Dealer Rule targeted toxic lenders in penny stock markets — and why its defeat means ongoing risks for…
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Does FINRA Rule 6490 Impact Going Public Transactions?
FINRA Rule 6490 has had an important impact on going public transactions specifically reverse mergers with public shell companies.
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What are SEC Periodic Reporting Requirements? Securities Lawyer 101
Companies become subject to the SEC’s periodic reporting requirements in several ways, including by filing a registration under the Securities Act of…
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Hamilton & Associates Law Group: Regulation A White Paper
Tier 1 of Regulation A provides an exemption for securities offerings of up to $20 million in a 12-month period, while Tier…
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SEC Amends Rule 144 for Convertible Notes and Unregistered Dealers
On December 22, 2020, the Securities and Exchange Commission (“SEC”) voted to propose amendments to Rule 144 to eliminate tacking for shares…
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SEC Trading Suspensions Under the Securities Exchange Act
When the SEC issues a trading suspension pursuant to Section 12(k), trading in the security is halted for the period set forth…
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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 A Form 10 Registration Statement? Form 10 Securities Lawyers
Form 10 shells are used as inventory for reverse merger transactions that take a company from private to public company status.
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What is Form 10 Information? Going Public Attorneys
A Form 10 registration status can cure public shell company status and has been used by many companies after reverse mergers. Rule…
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Accredited Crowdfunding With Rule 506(c) – Going Public Attorneys
Private placement offerings under Rule 506(c) of Regulation D of the Securities Act of 1933, as amended (“Securities Act”) are a cost-effective…
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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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SEC Comments – Form S-1 – Going Public Lawyers
Issuers who offer and sell securities or file an S-1 Registration Statement for selling shareholders in connection with a going public transaction…
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