Regulation A+SECSmaller Reporting CompanyTest The WatersThe FAST Act SEC Expands Ability To File Confidential Registration Statements Laura Anthony, Esq.July 25, 2017 On June 19, 2017, the SEC announced that the Division of Corporation Finance will permit all companies to submit draft registration... 073500
C&DIRule 506SEC SEC Issues Guidance On Integration With A 506(c) Offering Laura Anthony, Esq.January 10, 2017 On November 17, 2016, the SEC Division of Corporation Finance issued a new Compliance and Disclosure Interpretations (C&DI) rela... 067600
SEC What Does The SEC Do And What Is Its Purpose? Laura Anthony, Esq.February 14, 2017 February 15, 2017 As I write about the myriad of constantly changing and progressing securities law-related policies, rules, regulations, guidance and... 062600
Regulation ARegulation A+SEC SEC Issues Additional Guidance on Regulation A+ Laura Anthony, Esq.June 20, 2017 June 26, 2017 On March 31, 2017, the SEC Division of Corporation Finance issued six new Compliance and Disclosure Interpretations (C&DI) to pr... 061900
C&DISEC SEC Issues New C&DI On Abbreviated Debt Tender And Debt Exchange Offers Laura Anthony, Esq.January 31, 2017 February 1, 2017 ABA Journal’s 10th Annual Blawg 100 —————————————̵... 056000
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... 055700
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... 053100
OTC MarketOTC Markets Listing RequirementsOTC PinkOTC Pink Listing RequirementsOTCBBOTCQBOTCQB and OTCQXOTCQB Listing RequirementsOTCQXOTCQX Listing Requirements OTC Markets Amends Listing Standards For OTCQB To Allow Non-Reporting Issuers Laura Anthony, Esq.June 27, 2017 June 27, 2017 Effective May 18, 2017, the OTC Markets has amended its qualification rules for the OTCQB to allow quotation by companies that follo... 046200
Broker-DealerFINRAFINRA ComplianceFINRA RulesSEC An Introduction To Distributed Ledger Technology (Blockchain Technology) Laura Anthony, Esq.August 8, 2017 On July 13, 2017, FINRA held a Blockchain Symposium to assess the use of distributed ledger technology (DLT) in the financial indust... 045400
FINRANASAAOTC MarketRule 144Rule 147Rule 147ARule 504Rule 506SECSEC Advisory CommitteeSmall Business Capital Formation Recommendations Of SEC Government-Business Forum On Small Business Capital Formation Laura Anthony, Esq.May 23, 2017 In early April, the SEC Office of Small Business Policy published the 2016 Final Report on the SEC Government-Business Forum on Smal... 044600