Legal Resources

SEC Exchange/Reporting Requirements

• Public Company SEC Reporting Requirements

Securities Compliance Guidelines

• NASDAQ Compliance
• NYSE Compliance
• Blue Sky Compliance
• FINRA Compliance

Securities Law Resources

• IPOs
• Mergers
• SEC Rules and Regulations
• NASDAQ National Market (NASDAQ)
• New York Stock Exchange (NYSE)
• NYSE Exchange Listing Requirements
• NASDAQ Exchange Listing Requirements
• Securities Act Rule 144
• Crowdfunding JOBS Act
• Business Development Companies

Securities Disclosures

• Smaller Reporting Companies (SRCs)
• Emerging Growth Companies (EGCs)

Securities Types

• Equity and Debt Instruments

OTC Markets

• 15c2-11 Requirements & Application
• Principal American Liaison and Designated Advisors for Disclosure
• OTCQX Listing Requirements
• OTCQB Listing Requirements