Category Archives: Featured

Martha Miller Named Advocate for Small Business Capital Formation

The Securities and Exchange Commission today announced that Martha Legg Miller has been named as the first Advocate for Small Business Capital Formation. The position and the new Office of the Advocate for Small Business Capital Formation were created pursuant to the bipartisan SEC Small Business Advocate Act of 2016. As the Advocate for Small Business Capital Formation, Ms. Miller

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SEC Adopts Final Rules to Allow Exchange Act Reporting Companies to Use Regulation A

This week, The Securities and Exchange Commission adopted final rules to allow reporting companies to rely on the Regulation A exemption from registration for their securities offerings. “Regulation A provides an exemption from registration under the Securities Act for offerings of securities up to $50 million in a 12-month period,” said Chairman Jay Clayton. “The amended rules will provide reporting

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LD Micro Index Below 2,000 For First Time In 2 Years

This week, the LD Micro Index fell below 2,000 for the first time in  over 2 years. The LD Micro Index is designed to give the most accurate representation of the intraday activity of microcap stocks in North America. The index is market cap weighted and is comprised of approximately 1,014 stocks in the U.S. and Canada. General criteria for inclusion

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Transfer Online Is An Experienced Transfer Agent For Bank Mergers & Acquisitions

Sponsored Mergers & acquisitions can be a very hectic time for banks and public companies. Not only do management teams need to worry about combining their internal operations but they also need to ensure a smooth transition of shareholder records. During an M&A transaction, shareholders often need to replace lost certificates, submit old paper certificates, and change registration of ownership.

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Four OTC Markets Issuers Uplisted to Nasdaq & NYSE in November 2018

Four issuers uplisted from the OTC Markets to the NASDAQ or NYSE in November 2018. Learn more about these OTC ‘graduates’ below.   Aphria Inc. (NYSE: APHA) On November 2, 2018, APHA uplisted from the OTCPink to the NYSE. Aphria is a leading global cannabis company driven by an unrelenting commitment to our people, product quality and innovation. In preparation for

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Six Prestigious Firms Named December’s Platinum Sponsors of PubCoCEO™

We are honored to announce that six prestigious firms have supported PubCoCEO™ as Platinum Sponsors in December! Transfer Online, Inc. (Official Founding Transfer Agent), Lucosky Brookman, LLP (Official Law Firm), PubCo Reporting Solutions, Inc. (Official Edgar/XBRL Filing Agent & Outsourced CFO), MZ Group (Official Founding IR Firm), Acquis Capital, LLC (Official Founding Investment Firm), and The WorkOut Group, LLC (Official OTC Advisory Group) are each

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Prestigious Firms Sponsor PubCoCEO™ in December

We are honored to announce that six prestigious firms have supported PubCoCEO™ as Platinum Sponsors and three as Gold Sponsors in December! Lucosky Brookman, LLP (Official Law Firm), PubCo Reporting Solutions, Inc. (Official Edgar/XBRL Filing Agent), Transfer Online, Inc. (Official Founding Transfer Agent), MZ Group (Official Founding IR Firm),  The WorkOut Group, LLC (Official OTC Advisory Group), and Acquis Capital, LLC (Official Founding

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Save On Dividend Issuance Fees With This Trusted Paying Agent

Paying agents provide payments in the form of check, ACH, wire, or additional stock issuances (when acting as the registered agent) for stock dividends or coupons, interest and principal on bonds. Transfer Online’s payment processes have been refined and simplified by industry leading professionals in the securities industry. They have been a trusted paying agent since 1999! To ensure that

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Expert Analysis: Class of November 2018 OTC Graduates

By: Joseph M. Lucosky, Managing Partner Lucosky Brookman LLP The month of November saw a total of four companies uplist from the OTCQB and OTCQX onto national securities exchanges. Below are brief descriptions of these companies and selected information and observations of the paths these companies pursued. For more information about the uplisting process, or any other questions or analysis,

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Toxic Note Fight Taken To Federal Appeals Court In New York

Sponsored Yesterday, The Basile Law Firm P.C. announced that its’ client, 5BARz International Inc., (OTC: BARZ) filed a motion in the United States Circuit Court of Appeals for the Second Circuit to certify questions of law to the New York Court of Appeals requesting that several issues of unsettled state usury law be put in front of the New York

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