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... 042100
C&DIEmerging Growth Company (EGC)SECSmaller Reporting CompanyThe FAST Act The SEC Provides Further Guidance On Financial Statement Requirements In Registration Statements Laura Anthony, Esq.September 26, 2017 On August 17, 2017, the SEC issued guidance on financial statement requirements for confidential and public registration statement f... 059600
Broker Dealer Registration RequirementsBroker-DealerEmerging Growth Company (EGC)Finder's FeesFINRAFINRA ComplianceFINRA RulesForm 1-AM&A BrokersSmaller Reporting Company The Payment Of Finders’ Fees- An Ongoing Discussion Laura Anthony, Esq.July 5, 2017 Introduction As a recurring topic, I discuss exemptions to the broker-dealer registration requirements for entities and individuals... 02K00
CrowdfundingSEC The SEC Has Issued A Whitepaper On Title III Crowdfunding Laura Anthony, Esq.May 9, 2017 May 9, 2017 On February 28, 2017, the SEC released a white paper on Regulation Crowdfunding, which law went into effect on May 16, 2016. Regulat... 036100
SEC The Senate Banking Committee Passes Several Pro-Business Bills Laura Anthony, Esq.May 2, 2017 May 2, 2017 ABA Journal’s 10th Annual Blawg 100 —————————————̵... 019100
Dodd-Frank ActSECSEC GuidanceSEC Penalties Act The Acting SEC Chair Has Trimmed Enforcement’s Subpoena Power Laura Anthony, Esq.April 4, 2017 In early February 2017, acting SEC Chair Michael Piwowar revoked the subpoena authority from approximately 20 senior SEC enforcement... 031400
SEC The Financial Choice Act 2.0 Laura Anthony, Esq.March 28, 2017 On February 9, 2017, the Chair of the House Financial Services Committee issued a memo outlining changes to the Financial Cho... 034600
C&DIOTC MarketOTC Markets Listing RequirementsOTCQBOTCQXOTCQX Listing RequirementsSEC The SEC Has Issued New Guidance Related To Foreign Private Issuers Laura Anthony, Esq.March 14, 2017 On December 8, 2016, the SEC issued 35 new compliance and disclosure interpretations (C&DI) including five related to the use of... 00.9K00
Proxy StatementSECSEC Proxy Rules The SEC Has Proposed The Use Of Universal Proxy Cards Laura Anthony, Esq.February 28, 2017 The SEC has seen a huge exodus of key officials and employees since the recent change in administration, and the ultimate effect of... 029100
C&DIRegulation ARegulation A+SEC The SEC Has Issued New C&DI Guidance On Regulation A+ Laura Anthony, Esq.January 24, 2017 On November 17, 2016, the SEC Division of Corporation Finance issued three new Compliance and Disclosure Interpretations (C&a... 01K00