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The Rule 504 Exemption From Registration Requirements For Small Securities Offerings

Prior to offering and selling its stock to the public, a company normally must prepare and file with the Securities and Exchange Commission a detailed registration statement containing a prospectus with audited financial statements for distribution to potential purchasers and other information for review by Commission staff. However, there are exemptions from such registration requirements for certain categories of offerings that are small in value or sold to restricted categories of purchasers.

Securities Law> Additional Offerings, Disclosure & the Securities Exchange Act of 1934> Issuer Reports & Recordkeeping

(Fair Disclosure Requirements for Public Companies)

Public Reporting Requirements for Major Company Events

Major events for public companies must be made public through the filing of Form 8-K with the Securities and Exchange Commission. Form 8-K must be filed within four days after the events outlined in Sections 1 through 5 and 9 below.

Exchange Listing and Delisting Requirements for Securities

Exchange Listing and Delisting Requirements for Securities

Criminal Law & Procedure> Sentencing> Sentencing Guidelines Generally

Criminal Law