Capital Markets & Securities Law Resource Center

Listings & Exchange Compliance (NASDAQ/NYSE)

• NASDAQ Exchange Listing Requirements
• Nasdaq Capital Markets Listing Standards
• NASDAQ Rule 5210 – Listing Prerequisites
• NASDAQ Reverse Split Rules
• NASDAQ Compliance
• NYSE Exchange Listing Requirements
• NYSE American Listing Standards
• NYSE Compliance
• NYSE Rule Change: Delisting Of Companies That Change Primary Business
• NASDAQ Proposes Higher Liquidity Thresholds For Net Income Listings

OTC Markets, 15c2-11 & FINRA

• OTC Markets
• OTCQX Listing Requirements
• OTCQB Listing Requirements
• 15c2-11 Requirements & Application
• FINRA Compliance

SPACs, de‑SPACs, Reverse Mergers & Shell Companies

• New Rules On SPACs: What Is A SPAC?; Summary Of New Rules
• New Rules On SPACs: Business Combinations Involving Shell Companies
• New Rules On SPACs: Liabilities And Disclosures In De-SPAC Transactions
• New Rules On SPACs: Subpart 1600 Of Regulation S-K
• New Rules On SPACs: Projections, Disclosures And SPACs Under The Investment Company Act

SEC Registration Statements & Prospectus Communications

• F-3 Eligibility
• Registration Statement Undertakings
• Free Writing Prospectus

Resales, Rule 144 & Secondary Liquidity

• Securities Act Rule 144
• Rule 144 – a Deep Dive – Part 1
• Rule 144 – a Deep Dive – Part 2 – Definitions
• Rule 144 – a Deep Dive – Part 3 – Current Public Information
• Rule 144 – a Deep Dive – Part 4 – Holding Period
• Rule 144 – a Deep Dive – Part 5 – Limitation on Amount of Securities Sold
• Rule 144 – a Deep Dive – Part 6 – Manner of Sale and Form 144 Notice Filings
• Rule 144 Essentials

Public Company Reporting, Scaled Regimes & Company Types

• Public Company SEC Reporting Requirements
• Smaller Reporting Companies (SRCs)
• Emerging Growth Companies (EGCs)
• Business Development Companies 
• Equity and Debt Instruments
• Crowdfunding JOBS Act
• Blue Sky Compliance
• Terminating Reporting Obligations In An Abandoned IPO
• Understanding the Shareholder Meeting Timeline

Foreign Private Issuers (FPIs) & Cross‑Border Governance

• Foreign Private Issuers – Sec Registration and Reporting; Nasdaq Corporate Governance – Part 1
• Foreign Private Issuers – Sec Registration and Reporting; Nasdaq Corporate Governance – Part 2
• Foreign Private Issuers – Sec Registration and Reporting; Nasdaq Corporate Governance – Part 3

Updates & Insights (Policy changes, rule proposals, explainers)

• NASDAQ Proposes Higher Liquidity Thresholds For Net Income Listings
• Rule 144 Essentials

External Regulatory & Exchange Resources

• • IPOs
  • Mergers
  • SEC Rules and Regulations
  • NASDAQ National Market (NASDAQ)
  • New York Stock Exchange (NYSE)

Schedule a Consultation

Partner-led and internationally focused, ANTHONY, LINDER & CACOMANOLIS, PLLC delivers regulatory-precise corporate and securities counsel—backed by a $20B+ transaction track record and deep Japan–U.S. listing experience—to guide IPOs, de‑SPACs, M&A and complex capital raises. Our U.S. corporate & securities law attorneys represent clients worldwide and across the U.S., including West Palm Beach and Palm Beach County (FL), Jacksonville, Miami and Tampa (FL), and Houston, San Antonio and Dallas (TX); schedule a consultation at 877-541-3263 or visit our contact page.