Law Offices of Donald W. Hudspeth, PC, - Untitled 2

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...

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

Fair Disclosure Requirements for Public Companies

Regulation FD, adopted by the Securities and Exchange Commission in August 2000, provides that publicly traded companies must not make selective disclosures of...

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

Companies that wish to have their publicly traded securities listed on an exchange such as the New York or American Stock Exchanges or traded through NASDAQ must meet listing requirements set by the exchanges and NASDAQ and...

Criminal Law & Procedure> Sentencing> Sentencing Guidelines Generally

Criminal Law

(Sentencing Guidelines and Corporate Compliance and Ethics Programs)

The United States Sentencing Commission issued organizational sentencing guidelines in...