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... 036000
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... 028700
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... 079500
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... 052200
Distributed Ledger TechnologyInitial Coin OfferingsInitial Cryptocurrency OfferingsSEC SEC Statements On Cybersecurity – Part 2 Laura Anthony, Esq.November 28, 2017 November 28, 2017 On September 20, 2017, SEC Chair Jay Clayton issued a statement on cybersecurity that included the astonishing revelation that the S... 027100
Distributed Ledger TechnologyInitial Coin OfferingsInitial Cryptocurrency OfferingsRegulation SCISEC SEC Statements On Cybersecurity; An EDGAR Hacking – Part 1 Laura Anthony, Esq.November 21, 2017 On September 20, 2017, SEC Chair Jay Clayton issued a statement on cybersecurity that included the astonishing revelation that the S... 039900
Form 10Form 10-KForm 10-QRegulation S-KRegulation S-XSEC Guidance On New Exhibit Rules In SEC Filings Laura Anthony, Esq.November 14, 2017 On March 1, 2017, the SEC passed a final rule requiring companies to include hyperlinks to exhibits in filings made with the SEC. Th... 01.5K00
Emerging Growth Company (EGC)IPOJOBS ACTSmaller Reporting CompanyThe FAST Act Emerging Growth Companies Will Start To Grow Up Laura Anthony, Esq.November 7, 2017 The first of emerging growth companies (“EGC’s”) will begin losing EGC status as the five-year anniversary of the creation of an EGC... 01.2K00
Regulation S-KRegulation S-XSECThe FAST Act SEC Proposes Rules to Modernize and Simplify Disclosures Laura Anthony, Esq.October 31, 2017 October 31, 2017 On October 11, 2017, as part of the ongoing SEC Disclosure Effectiveness Initiative, the SEC published proposed rule amendments to m... 038800
IPONASDAQNASDAQ Listing Requirements NASDAQ Issues Report Advocating for The U.S. Public Markets Laura Anthony, Esq.October 24, 2017 Before SEC Commissioner Michael Piwowar’s May 16, 2017, speech at the SEC-NYU Dialogue on Securities Market Regulation regarding the... 031000