Depository Trust Company (DTC)DTC ChillDTC EligibilityDTC Global Locks DTC Again Proposes Procedures For Issuers Subject To Chills And Locks Laura Anthony, Esq.August 30, 2016 July 13, 2017 On June 3, 2016, the DTC filed a new set of proposed rules to specify procedures available to issuers when the DTC imposes or intend... 176200
Emerging Growth Company (EGC)Smaller Reporting Company Smaller Reporting Companies vs. Emerging Growth Companies Laura Anthony, Esq.August 23, 2016 July 13, 2017 The topic of reporting requirements and distinctions between various categories of reporting companies has been prevalent over the p... 01.2K00
SEC SEC Continues Efforts To Prevent Microcap Fraud Laura Anthony, Esq.August 16, 2016 December 5, 2016 As I’ve written about numerous times in the past, a primary agenda of the SEC and FINRA is to prevent small- and micro-cap fraud. On... 040600
Regulation S-KRegulation S-X SEC Issues Proposed Regulation S-K And S-X Amendments Laura Anthony, Esq.August 9, 2016 September 2, 2016 On July 13, 2016, the SEC issued a 318-page proposed rule change on Regulation S-K and Regulation S-X to amend disclosures that are... 015900
Accredited InvestorsSECSEC Advisory CommitteeSEC Guidance SEC Advisory Committee On Small And Emerging Companies Issues Further Recommendations On Accredited Investor Definition Laura Anthony, Esq.August 2, 2016 September 6, 2016 025800