What Constitutes a Security and Requirements Relating to the Offer and Sales of Securities and Exemptions From Registration Associated Therewith

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David M. Loev, John S. Gillies have published a new article titled What Constitutes a Security and Requirements Relating to the Offer and Sales of Securities and Exemptions From Registration Associated Therewith. It is available to read here.

About the Authors:

David M. Loev is Managing Partner at The Loev Law Firm, PC. John S. Gillies is a Senior Associate at The Loev Law Firm, PC. Messrs. Loev and Gillies have represented a variety...

Article Published By the American Academy of Attorney-CPAs

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An article written by David M. Loev and John S. Gillies, entitled “What Constitutes a Security and Requirements Relating to the Offer and Sales of Securities and Exemptions From Registration Associated Therewith” has been published by the American Academy of Attorney-CPAs in its January 2017 edition of the AAA-CPA WEEKLY UPDATE.

Link to AAA-CPA WEEKLY UPDATE – http://multibriefs.com/briefs/AAACPA/AAACPA011817.php

Link to Article – http://multibriefs.com/briefs/aaacpa/security.pdf

 

UPLISTING TO NASDAQ

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After recent conversations with the NYSE MKT and the Nasdaq Capital Market regarding the filing of an initial listing application for one of our clients, it became clear that an uplisting to the Nasdaq Capital Market would be a more clear path. 

In addition to wanting the standard documented initial listing standards satisfied, the NYSE MKT wanted our...