Initial Coin OfferingsInitial Cryptocurrency OfferingsSEC SEC Chief Accountant Speaks On Initial Coin Offerings ( ICO’s) Laura Anthony, Esq.October 17, 2017 On September 11, 2017, the SEC Chief Accountant, Wesley R. Bricker, gave a speech before the AICPA National Conference on Banks &... 042500
C&DIForm 1-ARegulation ARegulation A+ Updates On Regulation A+ Laura Anthony, Esq.October 10, 2017 On September 14, 2017, the SEC issued three new Compliance and Disclosure Interpretations (C&DI) to provide guidance related to... 036300
SEC SEC Provides Regulatory Relief To Hurricane Victims Laura Anthony, Esq.October 3, 2017 On September 28, 2017, the SEC announced interim final temporary rules (“Exemptive Order”) to provide relief to publicly trading com... 022500
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... 054400
SEC SEC Monitors Impact of Hurricanes On Capital Markets Laura Anthony, Esq.September 19, 2017 As I wrote this blog I continued to have no power at my home after one week, though thankfully it has returned by publication date.... 023200
SEC SEC Announces Regulatory Agenda Laura Anthony, Esq.September 12, 2017 In July 2017 the SEC posted its latest version of its semi-annual regulatory agenda and plans for rulemaking with the U.S. Office of... 016700
OTC MarketOTC Markets Listing RequirementsOTC PinkOTCQBOTCQB Listing RequirementsSEC OTCQB Sets New Requirements For Change Of Control Events Laura Anthony, Esq.September 5, 2017 September 5, 2017 On June 30, 2017, the OTC Markets Group published amendments to the OTCQB standards related to the processing and reporting of chang... 01.9K00
15c2-11 ApplicationFINRAFINRA ComplianceFINRA RulesOTCBBSEC FINRA Proposes Expansion Of The OTCBB Laura Anthony, Esq.August 29, 2017 In August 2016, FINRA quietly requested comment on a proposal to expand the now largely dormant OTC Bulletin Board quotation service... 040000
FINRAFINRA ComplianceFINRA Rules FINRA Issues New Guidance On Communications With The Public, Including Social Media Laura Anthony, Esq.August 22, 2017 In April 2017 FINRA issued Regulatory Notice 17-18 providing additional guidance on the use of social media and digital communicatio... 087800
BlockchainBlockchain TechnologyDistributed Ledger TechnologyInitial Coin OfferingsInitial Cryptocurrency Offerings SEC Issues Report on Initial Coin Offerings (ICO’s) Laura Anthony, Esq.August 15, 2017 On July 25, 2017, the SEC issued a report on an investigation related to an initial coin offering (ICO) by the DAO and statements by... 030600