Watch LaterAdded 04:24 Securities Law Firm Attorney Laura Anthony Talks Test-The-Waters Solicitation Materials on LawCast September 20, 2016 April 10, 2022 Attorney Laura Anthony Talks Test-The-Waters Solicitation Materials on LawCast- The disclaimer legend for testing-the-waters materia... 049610
Regulation S-KRegulation S-XSEC SEC Issues Proposed Amendments To Item 601 Of Regulation S-K Related To Exhibits Laura Anthony, Esq.September 20, 2016 On August 31, 2016, the SEC issued proposed amendments to Item 601 of Regulation S-K to require hyperlinks to exhibits in filings ma... 021900
Watch LaterAdded 04:22 Securities Law Firm Form 1-A Filing September 19, 2016 April 10, 2022 LawCast; Attorney Laura Anthony Talks Form 1-A Filing- In a Regulation A+ offering, companies can use “test-the-waters” solicitation... 01.2K70
Regulation S-KRegulation S-XSmaller Reporting CompanyThe FAST Act SEC Requests Comment On Changes To Subpart 400 To Regulation S-K Laura Anthony, Esq.September 13, 2016 September 13, 2016 On August 25, 2016, the SEC requested public comment on possible changes to the disclosure requirements in Subpart 400 of Regulation... 033000
Due DiligenceFINRAFINRA Compliance FinCEN Updates Due Diligence Rules Laura Anthony, Esq.September 6, 2016 On May 11, 2016, the Financial Crimes Enforcement Network (“FinCEN”) issued new final rules under the Bank Secrecy Act requiring fin... 050000
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... 177400
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... 01.3K00
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... 041400
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... 016500
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 026700