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... 034600
SECSEC Advisory CommitteeSmaller Reporting Company SEC Advisory Committee On Small And Emerging Companies Holds Final Meeting Laura Anthony, Esq.December 19, 2017 December 19, 2017 On September 13, 2017, the SEC Advisory Committee on Small and Emerging Companies (the “Advisory Committee”) held its final meeting... 033000
Distributed Ledger TechnologyInitial Coin OfferingsInitial Cryptocurrency OfferingsSEC SEC Statements On Cybersecurity – Part 2 Laura Anthony, Esq.November 28, 2017 November 28, 2017 On September 20, 2017, SEC Chair Jay Clayton issued a statement on cybersecurity that included the astonishing revelation that the S... 031600
Dodd-Frank ActSECSEC GuidanceSEC Penalties Act The Acting SEC Chair Has Trimmed Enforcement’s Subpoena Power Laura Anthony, Esq.April 4, 2017 In early February 2017, acting SEC Chair Michael Piwowar revoked the subpoena authority from approximately 20 senior SEC enforcement... 031400
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... 029100
SEC SEC Monitors Impact of Hurricanes On Capital Markets Laura Anthony, Esq.September 19, 2017 As I wrote this blog I continued to have no power at my home after one week, though thankfully it has returned by publication date.... 028300
Regulation S-KRegulation S-XSEC SEC Issues Final Rules Requiring Links To Exhibits Laura Anthony, Esq.April 11, 2017 On March 1, 2017, the SEC passed a final rule requiring companies to include hyperlinks to exhibits in filings made with the SEC. Th... 027800
SEC House Passes Creating Financial Prosperity For Business And Investors Act Laura Anthony, Esq.February 7, 2017 ABA Journal’s 10th Annual Blawg 100 —————————————̵... 026700
SEC SEC Provides Regulatory Relief To Hurricane Victims Laura Anthony, Esq.October 3, 2017 On September 28, 2017, the SEC announced interim final temporary rules (“Exemptive Order”) to provide relief to publicly trading com... 025300
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... 023400