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 &... 045300
FINRAFINRA ComplianceSEC FINRA Proposes New Registration And Examination Rules Laura Anthony, Esq.May 30, 2017 July 13, 2017 On March 8, 2017, the Financial Industry Regulatory Authority (FINRA) filed a proposed rule change with the SEC to adopt amended reg... 045000
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... 042400
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... 042300
IPOJOBS ACTJOBS ACT and CrowdfundingSEC SEC Completes Inflation Adjustment Under Titles I And III Of The Jobs Act; Adopts Technical Amendments Laura Anthony, Esq.April 25, 2017 On March 31, 2017, the SEC adopted several technical amendments to rules and forms under both the Securities Act of 1933 (“Securitie... 041600
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... 040800
CEO/CFO Certification RequirementsDodd-Frank ActSarbanes-Oxley Act of 2002SEC SEC Completes Inflation Adjustment To Civil Penalties Laura Anthony, Esq.March 21, 2017 ABA Journal’s 10th Annual Blawg 100 —————————————̵... 038800
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... 038800
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... 038500
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... 038100