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Rule 15C211 Under SEC Rule 15C211, a U.S. securities broker or dealer may not publish a quotation for any security unless certain information concerning the issuer is available and the broker or dealer has a reasonable basis for believing that the information is accurate. The information requirement is satisfied, in simple terms, if: Related Article Tags: , , , ,
It's the dream of every person who starts a business to some day see it trading in one of the stock exchanges even after they are no longer associated with the company. Related Article Tags: , , , ,
One overlooked individual in the process of taking a company public through reverse merger is the market maker. The market marker is critical especially if the company is going to be listed on OTC Bulletin Board or the NQB. Pink sheets. Related Article Tags: , , , ,
A direct public offering is when a company raises capital by selling its shares directly to what is refer to as affinity groups, unlike an IPO which are sold by a broker dealer to its customers and the general public through other broker dealers who have customers interested in buying shares in the company. Related Article Tags: , , , ,
Over the course of history there have been events and legislation that has transformed the financial markets, our economy and the way we conduct business , such as the legislation that form the Securities and Exchange Commission, the Internet has also has transformed the way we do business and communicate. Related Article Tags: , , , ,
Ok, you have successfully accomplished your dream of being the CEO of a public company. The stock of your company has a symbol and you are continually going to the computer to check the price, you tell all your relatives and friends and you even tried to encourage them to buy the stock. Related Article Tags: , , , ,
A corporate shell could be likened to a house that had been occupied by a family. Prior to the family moving out it was a home. But now it is just shell, a skeleton, a plain house with nobody in it, but if a family was to purchase the house and move in, it becomes a home. Related Article Tags: , , , , ,
Small and mid-size companies looking to go public usually think IPO (Initial Public offering), but find it difficult to get an underwriter to look at them. They go out an engage a consultant that advises them to do a reverse merger and they usually jump into it head first without exploring the options. Related Article Tags: , , , ,
Are the promoters and consultants destroying the market for Reverse Merger? First lets take a look at reverse merger. In a Reverse Merger, an operating private company merges with a public company that has little or no assets, nor known liabilities (the "shell"). Related Article Tags: , , , ,
Under the Securities Act of 1933, any offer to sell securities must either be registered with the SEC or meet an exemption. Regulation D (or Reg D) provides three exemptions from the registration requirements, allowing some smaller companies to offer and sell their securities without having to register the securities with the SEC. Related Article Tags: , , , ,
A reverse merger is a method used by many small and mid-cap companies to initially go public, its the purchase of, and reverse merger into, an existing public shell company. This is inexpensive compared with conventional Initial public offerings (IPO). This is also a simplified fast track method by which a private company can become a public company. Related Article Tags: , , , ,
Many business owners with a dream to take their company public often neglect to prepare and plan for the future, very few small and mid-size companies have a business plan.
A business plan is like a road map, and can be likened to when you go on a journey. Sometimes you need to change direction, it doesn't mean your destination changes, you are just getting there via a different route. Related Article Tags: , , , ,
There is a great deal of abuse going on in the OTC Bulletin Board Market and a lot of money is being made as result of it. Regulators are trying to deal with the problem but are unable to put a halt to it, unless they take drastic steps which will be detrimental to the small and micro-cap market. Related Article Tags: , , , ,
On February 15, 2005 a little daylight came into the pinks, on this day a new policy was implemented, this policy requires issuers of newly traded securities to disclose adequate current information to the investing public. Related Article Tags: , , , ,
Many Reverse Mergers have been successful when done properly that is why I never consent to doing one without providing the company with the possible problems that can arise and how to deal with them. Related Article Tags: , , , ,
Sarbanes-Oxley Act or the accountants full employment act as I like to call it, refers to legislation introduced by Senator Paul Sarbanes (D) MD and Representative Michael Oxley (R) Ohio and passed in July of 2002 in response to the Enron and Worldcom scandals. Related Article Tags: , , , ,
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