Capital Markets Lawyers in the USA
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- United Nations Convention and its Impact on Contracts for the Sale of Goods
The United Nations conventions and other meetings are in place to ensure uniform and reasonable regulations are in place across several countries with certain international concerns. Among these is the sale and export of goods between borders and across the United Nations.
- Going Public Options for Foreign Companies
Going Public Options for Foreign Companies
- Form 10 Shells l Reverse Mergers
Issuers seeking to raise capital often attempt to go public using a reverse merger with a public shell. Blank check companies that file Form 10 Registration Statements (“Form 10 Shells”) are marketed as handy vehicles private companies can use to go public easily.
- Form 10 Registration Statements
Form 10 is a Registration Statement used to register a class of securities pursuant to Section 12(g) of the Securities Exchange Act of 1934 (“Exchange Act”). This article addresses common questions we receive from clients about Form 10 registration statements.
- DTC Chills: A Big Conspiracy or Just Fraud?
The Depository Trust Company (DTC) is the only stock depository in the United States. When DTC provides services as the depository for an issuer’s securities, its securities can trade electronically.
- Going Public l OTCMarkets OTCQB
Many private companies seeking to go public are opting to list on the OTCMarkets OTCQB. The OTCMarkets Group operates an electronic inter-dealer quotation system called OTC Link.
- OTCMarkets Disclosure Tiers
Companies who go public can list on national securities exchanges such as NASDAQ, the American Stock Exchange or the New York Stock Exchange. The securities of companies who go public can also be quoted by The OTCMarkets Group, Inc. (“OTCMarkets”).
- Market Makers 101
The last step in going public transactions is for the soon-to-be-public company to obtain a stock trading or ticker symbol. In order to obtain a ticker symbol, the company seeking to go public’s stock must first be listed on a national securities exchange or qualify for quotation on the OTCMarkets’ Pink Sheets, OTCQB, or OTCQX markets.
- Rule 144’s Adequate Current Public Information Requirement
Rule 144(c) of the Securities Act of 1933, as amended (the “Securities Act”) requires that stockholders of public companies relying upon Rule 144 satisfy its adequate current public information requirement. The requirements depend upon whether the issuer is a reporting or non-reporting company.
- Form 211 l Going Public l OTC Pink Sheets
Many private companies that go public are opting for the listing on the OTCMarket’s Pink Sheets due to the increased costs and more stringent regulations associated with Securities and Exchange Commission (“SEC”) reporting.