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... 047500
Depository Trust Company (DTC)Dodd-Frank ActFINRASarbanes-Oxley Act of 2002SECSEC Guidance SEC Chair Jay Clayton Discusses Direction Of SEC Laura Anthony, Esq.August 1, 2017 In a much talked about speech to the Economic Club of New York on July 12, 2017, SEC Chairman Jay Clayton set forth his thoughts on... 039000
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... 075200
IPOSEC SEC Commissioner Piwowar Speaks On The IPO Market Laura Anthony, Esq.July 18, 2017 July 18, 2017 On May 16, 2017, SEC Commissioner Michael Piwowar gave the opening remarks to the SEC-NYU Dialogue on Securities Market Regul... 038500
GAAPMD&APCAOB AuditingSEC SEC Chief Accountant Speaks On Financial Reporting Laura Anthony, Esq.July 11, 2017 On June 8, 2017, the SEC Chief Accountant, Wesley R. Bricker, gave a speech before the 36th Annual SEC and Financial Reporting Insti... 037900
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... 01.8K00
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... 048100
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... 063600
Dodd-Frank ActEmerging Growth Company (EGC)SECSmaller Reporting CompanyThe Financial Choice Act 2.0 Financial Choice Act 2.0 Has Made Progress Laura Anthony, Esq.June 13, 2017 June 13, 2017 On June 8, 2017, the U.S. House of Representative passed the Financial Creating Hope and Opportunity for Investors, Consumers and En... 035100
FINRAFINRA ComplianceFINRA RulesFINRA360 FINRA Proposes Amendments To The Corporate Financing Rules Laura Anthony, Esq.June 6, 2017 June 6, 2017 On April 11, 2017, the Financial Industry Regulatory Authority (FINRA) released three regulatory notices requesting comment on rules... 033000