• Contact Information

    Laura Anthony, Attorney
    Legal & Compliance, LLC
    330 Clematis Street, Ste. 217
    West Palm Beach, FL 33401

    Toll Free: 1.800.341.2684
    Phone: 561.514.0936
    Fax: 561.514.0832

  • Reverse Mergers & Going Public — Our Firm Represents Many Public Companies

    There are several different ways to go public effectively. The term “going public” can mean a few different things, including reverse mergers with public shells or the filing of an S-1 Registration Statement. Ultimately, the company going public is interested in raising capital and may or may not opt to participate in the IPO (Initial Public Offering) process. Regardless, start-up capital formation is a primary concern when going public.

    This site is intended to remove the guesswork from corporate finance terms like reverse merger, public shells, market makers, 15C211, registration statement, and forward merger.

    In addition, the benefits of being a public company will be clearly detailed. You will be able to fully understand that as a public company seeking to raise capital, it is also necessary to attract investor awareness while maintaining strict public company compliance.

    Reverse Mergers & Ways to Go Public

    If you are taking a company public, be sure to understand your options.  For starters, it is typically advisable to retain the services of a securities attorney as opposed to a “going public consultant.” Ultimately, organizations holding themselves out as “going public experts” are little more than middlemen who must ultimately retain the services of a securities law firm in order to complete the necessary S-1 Registration Filings.

    Contact us today. Inquiries of a technical nature are always encouraged.

     

    More


    • Regulation A+ Continues To Grow
      Posted by Securities Attorney Laura Anthony | April 17, 2018
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      The new Regulation A/A+, which went into effect on June 19, 2015, is now three years old and continues to develop and gain market acceptance. In addition to ongoing guidance from the SEC, the experience of practitioners and the marketplace continue to develop in the area. Nine companies are now listed on national exchanges, having...  



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    • The Division of Corporation Finance’s Disclosure Review And Comment Process
      Posted by Securities Attorney Laura Anthony | April 11, 2018
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      Those that regularly read my blog know that I sometimes like to go back to basics. This blog will revisit and discuss the SEC’s Division of Corporation Finance (“CorpFin”) comment and review process. Back in March 2016, I wrote about the SEC comment and review process, including a description of the internal review process, review...  



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    • The SEC’s 2018 Flex Regulatory Agenda
      Posted by Securities Attorney Laura Anthony | April 3, 2018
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      In December 2017, the SEC posted its latest version of its semiannual regulatory agenda and plans for rulemaking with the U.S. Office of Information and Regulatory Affairs. Prior to issuing the agenda, SEC Chair Jay Clayton had promised that the SEC’s regulatory agenda’s would be “more realistic” and he seems to have been true to...  



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    • The SEC Has Issued New Guidance On Cybersecurity Disclosures
      Posted by Securities Attorney Laura Anthony | March 27, 2018
      Tags:

      On February 20, 2018, the SEC issued new interpretative guidance on public company disclosures related to cybersecurity risks and incidents. In addition to addressing public company disclosures, the new guidance reminds companies of the importance of maintaining disclosure controls and procedures to address cyber-risks and incidents and reminds insiders that trading while having non-public information related to...  



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    • OTC Markets Issues Comment Letters On FINRA Rules 6432 And 5250; The 15c2-11 Rules
      Posted by Securities Attorney Laura Anthony | March 20, 2018
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      January 8, 2018, OTC Markets Group, Inc. (“OTC Markets”) submitted a comment letter to FINRA related to FINRA Rule 6432.  Rule 6432 requires that a market maker or broker-dealer have the information specified in Securities Exchange Act Rule 15c2-11 before making a quotation in a security on the over-the-counter market. Although I summarize the salient...  



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