Resolving a NASDAQ Trading Halt Due to a Lack of DTC Eligibility It is a common misperception that if a company applies for an exchange listing that it is automatically DTC Eligible upon approval for trading the exchange. This is…
Author: Erik Nelson
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SEC Action on False Press Releases
SEC Action Regarding False Press Releases I recently came across an older litigation release where the SEC charged a company and its CEO with making false press releases. I wanted to take a closer look at this regulatory action…
Gifting of Shares – Do Not Do It !
The gifting of shares of stock prior to taking a small cap company public can seem like a good idea. However, in reality it causes significant problems that can easily be avoided. In this blog post we take a look at those issues and how they can easily be avoided.