'Exchange act' presentation slideshows

Rule 10b-5 Antifraud Liability

1.48k views • 115 slides

RECENT GOVERNANCE DEVELOPMENTS IN THE UNITED STATES

RECENT GOVERNANCE DEVELOPMENTS IN THE UNITED STATES. Robert D. Strahota Assistant Director, Office of International Affairs* U.S. Securities and Exchange Commission Prepared for Fourth South Eastern Europe Corporate Governance Roundtable March 7, 2003

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Foreign Regulation of Corporate Governance: Extraterritorial Application of Securities Laws

Foreign Regulation of Corporate Governance: Extraterritorial Application of Securities Laws. By Baiba Tora Simonetta Simmons Brandon Taylor. Overview. Main Issues Morrison v. National Australia Bank Dodd-Frank Act Policy Proposal. Securities Laws. Securities Act (1933)

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Foreign Regulation of Corporate Governance: Extraterritorial Application of Securities Laws

Foreign Regulation of Corporate Governance: Extraterritorial Application of Securities Laws. By Baiba Tora Simonetta Simmons Brandon Taylor. Overview. Main Issues Morrison v. National Australia Bank Dodd-Frank Act Policy Proposal. Securities Laws. Securities Act (1933)

459 views • 27 slides

US and UK anticorruption regime

438 views • 25 slides

Sandeep Parekh Advocate, P.H. Parekh & Co. Visiting Faculty, IIM - Ahmedabad

290 views • 19 slides

IV. Regulation of Trading and Securities Markets

IV. Regulation of Trading and Securities Markets. A. Background and Early Regulation. The primary purpose of government regulation of competitive markets is to prevent market failure or collapse.

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Health Information Technology Updates and Happenings

256 views • 17 slides

Direct Public Offerings

Most commonly asked questions about Direct Public Offerings.

322 views • 17 slides

Implementing the Sarbanes-Oxley Act of 2002

Implementing the Sarbanes-Oxley Act of 2002. -David R. Fredrickson Assistant General Counsel U.S. Securities and Exchange Commission. Disclaimer.

342 views • 16 slides

Form S-1 Registration Statements - What Issuers Need to Know

Form S-1 is the most commonly used method of raising capital and going public. The Form can be used to register shares for seed stockholders or larger accredited investors. Form S-1 provides transparency to investors and provides a cost and time effective solution for companies seeking to raise capital and go public.

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Form S-1 Registration Statements

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Form S-1 Registration Statement - Going Public

365 views • 16 slides

Trico Marine Services, Inc. Board and Corporate Governance Overview January 2010

Trico Marine Services, Inc. Board and Corporate Governance Overview January 2010. Agenda. History of your current Board Executing strategies Commitment to best practices in corporate governance Appendix. History of the Current Board.

309 views • 13 slides

Legal Liability

Legal Liability. Civil Liability. Need to prove: Liability? (auditor at fault) Causation? (failure of audit caused damage) Damages? (amount of loss) Another issue: Privity Have the right to sue? Another issue: Burden of Proof Plaintiff or Defendant?.

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ACCT 6300 Final Exam Review Instructor written questions

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Regulation A Transfer Agent Services

https://www.colonialstock.com/regulation-a-plus-transfer-agent.htm - The SEC mandates that any issuers conducting a Tier II offering under the Regulation A rules must engage the services of a stock transfer agent. The transfer agent must be registered with the SEC as outlined in Section 17A of the Exchange Act. Here are some of the benefits of using Colonial as your SEC registered transfer agent Reg A offering: Professional Transfer Agency, Offering Guidance, Escrow Services, DTC Eligibility, 24/7 Online Access, Cost Savings, Account Manager, Book-entry, Electronic Certificates, Registered SEC Filing Agent, Blue Sky Compliance.

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Legal Services of Southern California

We provide securities law expertise and legal services of Southern California to clients to assist with their ongoing compliance with applicable federal and state securities laws and regulations, including the Securities Exchange Act of 1934, as amended (the u201cExchange Actu201d). To schedule a meeting with an attorney, please call 917-830-6517

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VIKING ENGAGES LEADING OIL & GAS OPERATOR IN EASTERN KANSAS

NEW YORK, NY -- (Marketwired) -- 10/25/16 -- Viking Investments Group, Inc. ("Viking") (OTCQB: VKIN) is pleased to announce it has engaged Kansas Resource Development Company ("KRDC") to operate certain of its oil and gas-related leases in Eastern Kansas.

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VIKING'S ABC LEASE HAS PRODUCED ALMOST 1MM BARRELS OF OIL

The ABC Lease, in which Mid-Con acquired a 95% working interest on October 4th, 2016, is a prolific oil lease in the region. Prior to Mid-Con's acquisition, engineering estimates indicated approximately 913,675 barrels of oil had been produced from this lease as of April 1, 2016, and remaining PDP and PUD reserves were 73,825 stb and 91,200 stb, respectively. Wells on the lease are approx. 350 feet deep and target the Peru formation. Wells in the area similar to those on this lease have demonstrated the ability to produce for 20 - 30 years.

85 views • 2 slides