OTC Markets Direct – Bypassing the Sponsoring Market Maker Under SEC Rule 15c2-11
Issuers may now work directly with OTC Markets through its OTCIQ Portal, bypassing the sponsoring market maker while maintaining full compliance under…
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What Is the OTC Markets Expert Market? Securities Lawyer Blog
Quotes of securities in the Expert Market are “Unsolicited Only,” which means that trades of securities subject to unsolicited quotation in the Expert…
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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…
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Direct Public Offering Attorneys, DPO, Go Public Direct
A direct public offering (“Direct Public Offering”) provides a viable solution to these companies. Using a Direct Public Offering to go public direct can allow…
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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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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 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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Direct Public Offering Attorneys – Securities Lawyer 101
To ensure the proper structure, a Direct Public Offering Attorney should be engaged in the initial stages of the going public process…
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