Laura Anthony

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    • Member Type(s): Expert
    • Title:Founding Partner
    • Organization:Legal & Compliance, LLC
    • Area of Expertise:Securities Law
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Foreign Private Issuers on the OTC
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Uploaded By: Laura Anthony, Esq.
Date Added: November 16, 2016
Description: Foreign Private Issuers on the OTC- U.S. investments in foreign businesses and foreign companies trading in the U.S. public markets- Like U.S. companies, when a foreign company desires to sell securities to U.S. investors, such offers and sales must either be registered or there must be an available Securities Act exemption from registration. The registration and exemption rules available to foreign private issuers are the same as those for U.S. domestic companies, including, for example, Regulation D (with the primarily used Rules 506(b) and 506(c)), Regulation S and resale restrictions and exemptions such as under Section 4(a)(1) and Rule 144...
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