ALC LawCast · Finance in Focus

Securities law for small-cap companies, in plain English.

Short video briefings from securities attorney Laura Anthony on IPOs, uplistings, SEC reporting and exchange rule changes.

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Nasdaq Amends Rules to Mandate Strict $4.00 Floor Initial Listing Price

Latest episode · 1:33 · Laura Anthony, Esq.

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Nasdaq Amends Rules to Mandate Strict $4.00 Floor Initial Listing Price

Nasdaq ·

1:33

What are Death Spiral Transactions?

Financing Transactions ·

2:41

F-3 Eligibility – Baby Shelf vs Full Shelf

Shelf Registration ·

2:44

Simplification of Filer Status Categories- Part 2

SEC Rulemaking ·

2:05

Simplification of Filer Status Categories — Part 1

SEC Rulemaking ·

1:38

New NYSE Rule for Delisting $0.25 Stocks

NYSE ·

4:16

The SEC’s 2026 Regulatory Agenda- Part 2

SEC Rulemaking ·

3:16

The SEC’s 2026 Regulatory Agenda- Part 1

SEC Rulemaking ·

4:21

The SEC has stayed Nasdaq’s New $5 million continued Listing Rule

Nasdaq, SEC Rulemaking ·

5:18

NYSE American Recent Rule Changes & Proposals- Part 2

NYSE American ·

4:06

NYSE American Recent Rule Changes & Proposals- Part 1

NYSE American ·

4:39

SEC Recent Rule Changes

SEC Rulemaking ·

5:19

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Nasdaq · SPACs

NASDAQ Modifies Initial Listing Requirements For SPACs

On April 22, 2026, Nasdaq amended its listing standards for Special Purpose Acquisition Corporations (SPACs). The amended rules represent a significant tightening of the initial listing requirements for…

October 28, 2026

NASDAQ Amends Listing Rule 5505 To Mandate Strict $4.00 Floor Initial Listing Price

October 21, 2026

SEC Publishes CFI On “Participant” Status For Activist Fund Investors In Proxy Solicitations And Disclosures On Schedule 13D

October 14, 2026

SEC Approves NYSE Rule For The Listing And Trading Of Digital Asset Securities

October 7, 2026

Behind LawCast

Hosted by a securities lawyer who does the deals.

Laura E. Anthony, Esq.

Founding Partner, Anthony, Linder & Cacomanolis, PLLC

Laura and her partners advise companies going public, listing on Nasdaq, NYSE and NYSE American, and completing domestic and cross-border M&A, with offices in West Palm Beach and Tokyo.

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~ 0 yrs

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offices: Florida & Tokyo

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