Regulation S-KRegulation S-XSEC ABA Comment Letter On Disclosures Under Regulation S-K Laura Anthony, Esq.May 1, 2018 May 1, 2018 In December 2017, the American Bar Association (“ABA”) submitted its fourth comment letter to the SEC related to the financial and b... 032200
SEC Financial Statement Disclosure Relief Under Rule 3-13 Laura Anthony, Esq.November 6, 2018 Rule 3-13 of Regulation S-X allows a company to request relief from the SEC from the financial statement disclosure requirements if... 01K00
BlockchainBlockchain TechnologyCFTCDLTICOs FinCEN’S Role In Cryptocurrency Offerings Laura Anthony, Esq.July 10, 2018 July 12, 2018 In the continuing dilemma over determining just what kind of asset a cryptocurrency is, multiple regulators have expressed opinions... 046100
BlockchainBlockchain TechnologyDistributed Ledger TechnologyDLTFINRAFINRA ComplianceFINRA Rules FINRA Examines Fintech Including Blockchain Laura Anthony, Esq.September 11, 2018 On July 30, 2018, the Financial Industry Regulatory Authority (FINRA) published a Special Notice seeking public comments on how FINR... 065400
Direct Public Offering (DPO)NASDAQNYSEOTC Market Going Public Without An IPO Laura Anthony, Esq.May 8, 2018 On April 3, 2018, Spotify made a big board splash by debuting on the NYSE without an IPO. Instead, Spotify filed a resale registrati... 063600
C&DIRegulation DSEC Multiple Changes To Private Offering Compliance And Disclosure Interpretations (C&DI) Laura Anthony, Esq.January 23, 2018 January 23, 2018 The SEC has been fine-tuning its Compliance and Disclosure Interpretations (C&DI), making multiple amendments, additions and del... 050400
Classes of StockExchange Traded Funds (ETFs)IPOPublic CompanySECSEC Investor Alert Multiple Classes of Stock and the Public Company Laura Anthony, Esq.May 29, 2018 May 29, 2018 In March 2017, Snap Inc. completed its IPO, selling only non-voting Class A common shares to the investing public and beginning an o... 069100
NASDAQNASDAQ Listing RequirementsPrivate Investment in Public Equity (PIPE) Nasdaq Amends Its 20% Dilution Shareholder Approval Rule Laura Anthony, Esq.December 18, 2018 Effective September 26, 2018, Nasdaq amended Rule 5635(d) to provide greater flexibility and certainty for companies to determine wh... 01.1K00
BlockchainBlockchain TechnologyCFTCCryptocurrenciesDistributed Ledger TechnologyDLTFINRASEC Online Platforms Trading Cryptocurrencies; Continued Uncertainty In Crypto Space Laura Anthony, Esq.June 5, 2018 I have been writing often about the cryptocurrency marketplace and the SEC and other regulators’ statements and concerns about compl... 032700
15c2-11 ApplicationBroker Dealer Registration RequirementsFINRAFINRA ComplianceFINRA RulesOTC MarketOTC Markets Listing RequirementsOTC PinkOTC Pink Listing RequirementsOTCQBOTCQB Listing RequirementsOTCQXOTCQX Listing Requirements OTC Markets Issues Comment Letters On FINRA Rules 6432 And 5250; The 15c2-11 Rules Laura Anthony, Esq.March 20, 2018 January 8, 2018, OTC Markets Group, Inc. (“OTC Markets”) submitted a comment letter to FINRA related to FINRA Rule 6432. Rule 6432... 03.1K00