Wednesday, October 22, 2014

Section 12 – Termination of Registration and Trading Suspensions

Going Public LawyerSecurities Law Blog SEC proceedings for registration revocations and trading suspensions have become somewhat common in the microcap markets since the Securities and Exchange Commission (“SEC”) started its Operation Shell Expel initiative.  Proceedings under Section 12(j) are frequently initiated when an SEC reporting company has a  history of delinquent periodic reports and filings.Section 13(a) of the Securities Exchange Act of 1934,... Read MoreGoing Public Lawyer

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