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... 038400
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
Depository Trust Company (DTC)NASDAQNYSE MKTOTC MarketSEC SEC Adopts The T+2 Trade Settlement Cycle Laura Anthony, Esq.April 18, 2017 ABA Journal’s 10th Annual Blawg 100 —————————————̵... 037800
NASDAQNYSE MKTOTC MarketOTC PinkOTCBBOTCQBOTCQX SEC Issues White Paper On Penny Stock Risks Laura Anthony, Esq.February 21, 2017 On December 16, 2016, the SEC announced several new settled enforcement proceedings against market participants including issuers, a... 037300
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
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... 033500
Regulation S-KRegulation S-XSECThe FAST Act SEC Issues Report On Regulation S-K Laura Anthony, Esq.January 3, 2017 As required by Section 72003 of the Fixing America’s Surface Transportation Act (the “FAST Act”), on November 23, 2016, the SEC issu... 033200
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... 033100
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
SEC The Financial Choice Act 2.0 Laura Anthony, Esq.March 28, 2017 On February 9, 2017, the Chair of the House Financial Services Committee issued a memo outlining changes to the Financial Cho... 032600