Broker Dealer Registration RequirementsBroker-DealerSection 3(a)(39)Section 5 SEC Sanctions BITCOIN Exchange Operator-A Case Study In Basic Registration And Exemption Requirements Laura Anthony, Esq.December 16, 2014 037500
CrowdfundingIntrastate OfferingJOBS ACTJOBS ACT and CrowdfundingRule 147Section 3(a)(11)Section 4(a)(6)Section 5Uncategorized SEC Issues Advertising Guidance Related to State-Specific Crowdfunding Laura Anthony, Esq.October 21, 2014 028600
Regulation MRegulation SHORule 144Uncategorized SEC Filed Actions Against 19 Firms and One Individual Trader for Violation of Rule 105 of Regulation M Laura Anthony, Esq.September 23, 2014 048100
Going PublicInsider TradingSchedule 13DSchedule 13GSection 13Section 16Uncategorized SEC Files Dozens of Charges for Violations of the Section 16 and Section 13 Corporate Insider Reporting Requirements Laura Anthony, Esq.September 15, 2014 039800
Accredited InvestorsC&DIRule 506SEC GuidanceSection 4(a)(2)Securities AttorneysSmall Cap MarketUncategorized SEC Extends Valuable Guidance to Determine and Verify Accredited Investors Laura Anthony, Esq.July 15, 2014 030500
Corporate LawForm 10-KInsider TradingSchedule 13GSEC GuidanceSection 13Section 16Securities AttorneysSmall Cap MarketUncategorizedWhite Paper Section 16 Insider Reporting and Potential Liability for Short-Swing Trading Practices Laura Anthony, Esq.June 30, 2014 01K00
Schedule 13DSchedule 13GSection 12Small Cap MarketSpin-Off Schedule 13D and 13G Filing Requirements for Public Company Shareholders Laura Anthony, Esq.June 24, 2014 02.7K00
Equity Market StructureRegulation ARegulation SCISmall Cap MarketUncategorized SEC Chair Mary Jo White Speaks on Equity Market Structure Laura Anthony, Esq.June 16, 2014 025300
Dodd-Frank ActForm 8-KJOBS ACTProxy StatementSEC Schedule 14ASmall Cap MarketSmaller Reporting CompanyUncategorized Say-On-Pay for Smaller Reporting Companies Laura Anthony, Esq.May 6, 2014 040000
C&DICorporate LawRegulation FDRule 134SEC GuidanceSmall Cap MarketUncategorized SEC Issues New Guidance on Use of Twitter and Other Social Media Communications Laura Anthony, Esq.April 29, 2014 053700