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 —————————————̵... 039600
C&DIOTC MarketOTC Markets Listing RequirementsOTCQBOTCQXOTCQX Listing RequirementsSEC The SEC Has Issued New Guidance Related To Foreign Private Issuers Laura Anthony, Esq.March 14, 2017 On December 8, 2016, the SEC issued 35 new compliance and disclosure interpretations (C&DI) including five related to the use of... 083200
SEC SEC Announces Examination Priorities For 2017 Laura Anthony, Esq.March 7, 2017 On January 12, 2017, the SEC announced its Office of Compliance Inspections and Examinations (OCIE) priorities for 2017. The OCIE ex... 021900
Proxy StatementSECSEC Proxy Rules The SEC Has Proposed The Use Of Universal Proxy Cards Laura Anthony, Esq.February 28, 2017 The SEC has seen a huge exodus of key officials and employees since the recent change in administration, and the ultimate effect of... 025800
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
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... 064700
SEC House Passes Creating Financial Prosperity For Business And Investors Act Laura Anthony, Esq.February 7, 2017 ABA Journal’s 10th Annual Blawg 100 —————————————̵... 024200
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 —————————————̵... 058100
C&DIRegulation ARegulation A+SEC The SEC Has Issued New C&DI Guidance On Regulation A+ Laura Anthony, Esq.January 24, 2017 On November 17, 2016, the SEC Division of Corporation Finance issued three new Compliance and Disclosure Interpretations (C&a... 00.9K00
C&DIForm 8-KForm S-3SEC SEC Issues New C&DI Clarifying The Use Of Form S-3 By Smaller Reporting Companies; The Baby Shelf Rule Laura Anthony, Esq.January 17, 2017 The SEC has been issuing a slew of new Compliance and Disclosure Interpretations (“C&DI”) on numerous topics in the past few mon... 03.3K00