SECUncategorized The Investment Adviser Advertising Rule Laura Anthony, Esq.December 27, 2017 On September 14, 2017, the SEC Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert identifying the most f... 035300
SECSEC Advisory CommitteeSmaller Reporting Company SEC Advisory Committee On Small And Emerging Companies Holds Final Meeting Laura Anthony, Esq.December 19, 2017 December 19, 2017 On September 13, 2017, the SEC Advisory Committee on Small and Emerging Companies (the “Advisory Committee”) held its final meeting... 028100
SEC SEC Publishes Report on Access to Capital and Market Liquidity Laura Anthony, Esq.December 12, 2017 December 13, 2017 On August 8, 2017 the SEC Division of Economic and Risk Analysis (DERA) published a 315-page report describing trends in primary sec... 076900
FINRAOTC MarketOTC Markets Listing RequirementsOTC PinkOTCQBOTCQXSEC OTC Markets Group Establishes A Stock Promotion Policy Laura Anthony, Esq.December 5, 2017 As OTC Markets Group continues to position itself as a respected venture trading platform, it has adopted a new stock promotion poli... 051800