Watch LaterAdded 04:55 Securities Law Firm Regulation A+ Tier 1 Offerings Do Not Preempt State Law September 27, 2016 April 10, 2022 Regulation A+ Tier 1 Offerings Do Not Preempt State Law- Tier 1 offerings do not preempt state law and accordingly, any companies in... 057330
Dodd-Frank ActSEC SEC Whistleblower Awards Pass $100 Million As It Continues To Crack Down On Confidentiality Provisions In Employment Agreements Laura Anthony, Esq.September 27, 2016 The SEC has proudly announced that including a $22 million award on August 30, 2016, its whistleblower awards have surpassed $100 mi... 022700
Watch LaterAdded 04:38 Securities Law Firm Attorney Laura Anthony Hosts LawCast; Regulation A+ and the Legal Aspects of Testing the Waters September 26, 2016 April 10, 2022 Attorney Laura Anthony Hosts LawCast; Regulation A+ and the Legal Aspects of Testing the Waters- In addition to the legal aspects of... 058430
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... 050610
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... 022500
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... 033700
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... 050900
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... 042400