Depository Trust Company (DTC)SEC SEC Proposes Shortening Trade Settlement Laura Anthony, Esq.December 27, 2016 On September 28, 2016, the SEC proposed a rule amendment to shorten the standard broker-initiated trade settlement cycle from three... 027600
Regulation S-KRegulation S-XSEC SEC Eliminates The “Tandy Letter” Laura Anthony, Esq.December 20, 2016 July 13, 2017 On October 5, 2016, the SEC Division of Corporation Finance (CorpFin) announced that, effective immediately, it would no longer requ... 047700
Form 8-KPrivate Investment in Public Equity (PIPE)SEC SEC Cracks Down On Failure To File 8-K For Financing Activities; An Overview Of Form 8-K Laura Anthony, Esq.December 13, 2016 December 13, 2016 ABA Journal’s 10th Annual Blawg 100 —————————————̵... 01.8K00
Regulation S-KRegulation S-XSEC Yahoo Hacking Scandal And Obligations Related To Cybersecurity Laura Anthony, Esq.December 6, 2016 December 6, 2016 On September 26, 2016, Senator Mark R. Warner (D-VA), a member of the Senate Intelligence and Banking Committees and cofounder of th... 031700
CrowdfundingIntrastate CrowdfundingIntrastate OfferingRegulation DRule 147Rule 504SECSection 3(a)(11) SEC Modernizes Intrastate Crowdfunding; Amending Rules 147 And 504; Creating New Rule 147A Laura Anthony, Esq.November 29, 2016 On October 26, 2016, the SEC passed new rules to modernize intrastate and regional securities offerings. The final new rules amend R... 074500
CABFINRASEC SEC Has Approved FINRA’s New Category Of Broker-Dealer For “Capital Acquisition Brokers” Laura Anthony, Esq.November 22, 2016 On August 18, 2016, the SEC approved FINRA’s rules implementing a new category of broker-dealer called “Capital Acquisition Brokers”... 027600
Private OfferingsPrivate PlacementSEC House Passes Accelerated Access To Capital Act Laura Anthony, Esq.November 15, 2016 November 15, 2016 On September 8, 2016, the U.S. House of Representatives passed the Accelerating Access to Capital Act. The passage of this Act conti... 030900
Watch LaterAdded 06:14 Securities Law Firm What is LawCast? November 10, 2016 April 10, 2022 What is LawCast?- I’ve been practicing securities law for more than 20 years. In that time the small cap marketplace, including the... 01K100
NASDAQOTC MarketOTC Markets Listing RequirementsOTCQXOTCQX Listing RequirementsRegulation DRegulation FDRule 144SEC Changes In India’s Laws Related To Foreign Direct Investments- A U.S. Opportunity; Brief Overview For Foreign Private Issuers Laura Anthony, Esq.November 8, 2016 November 11, 2016 Make Laura Anthony’s Blog Site #1 Click Icon Below and Vote NOW In June 2016, the Indian government announced new rules allowing for... 038100
C&DIRegulation ARegulation A+Rule 144Rule 701SECSection 5 SEC Issues New C&DI On Rule 701 Laura Anthony, Esq.November 1, 2016 On June 23, 2016, the SEC issued seven new Compliance and Disclosure Interpretations (“C&DI”) related to Rule 701 of the Securit... 01K00