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 Finra Form 211 2012-2024

15c2 11 2012-2024 Form

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Instructions and help about form 15c2 11

Music I'm attorney Laura Anthony founding partner of Legal camp; Compliance a full service corporate securities and business transactions' law firm today is a continuation in a law cast series talking about direct public listings I have been going through the direct listing process for trading on OTC markets ultimately a company will be registering common stock and that common stock will trade on the OTC markets but the initial private placement investment itself can take many forms including convertible preferred stock units consisting of current equity in the form of common and or preferred stock and options or warrants or units consisting of any combination of debt and equity private often offerings often include registration rights agreements to require the company to file a resale registration statement within a certain period of time and even to pursue a trading symbol and listing on the OTC markets in structuring the private offering or offerings and subsequent resale registrati

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