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
C&DIForm S-8Regulation ARegulation A+Rule 701SEC SEC Amends Rule 701 And Issues A Concept Release On Rule 701 And Form S-8 – Part I Laura Anthony, Esq.August 28, 2018 On May 24, 2018, President Trump signed the Economic Growth, Regulatory Relief and Consumer Protection Act (the “Act”) into law. Sec... 01.3K00
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
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
Blockchain TechnologyDistributed Ledger Technology State Distributed Ledger Technology and Blockchain Regulations Laura Anthony, Esq.January 2, 2018 January 2, 2018 In a time of rapidly changing regulations and policies on all securities industry and corporate finance topics, and the development... 081800
CryptocurrenciesICOsInitial Coin OfferingsInitial Cryptocurrency OfferingsSAFT What is a SAFT? Laura Anthony, Esq.April 24, 2018 A Simple Agreement for Future Tokens (“SAFT”) is an investment contract originally designed to provide a compliant alternative to an... 078100
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
BlockchainBlockchain TechnologyCryptocurrenciesDistributed Ledger TechnologyDLT Wyoming’s Blockchain Legislation Laura Anthony, Esq.July 31, 2018 Wyoming continues to position itself as a business-friendly state most recently by passing groundbreaking blockchain legislation def... 068200
OTC MarketOTC Markets Listing RequirementsOTC PinkOTC Pink Listing RequirementsOTCQBOTCQB and OTCQXOTCQB Listing RequirementsOTCQXOTCQX Listing Requirements The OTCQB Has Added Additional Quantitative Listing Standards Laura Anthony, Esq.August 14, 2018 On May 20, 2018, the OTC Markets Group published the OTCQB Standards version 3.0 incorporating amendments to the OTCQB initial and o... 065800
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