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
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... 085300
C&DISEC SEC Issues Additional C&DI On Use Of Non-GAAP Measures Laura Anthony, Esq.August 7, 2018 On April 4, 2018, the SEC issued two new Compliance & Disclosure Interpretations (C&DI) related to the use of non-GAAP finan... 059600
Blockchain TechnologyDistributed Ledger TechnologyInitial Coin OfferingsInitial Cryptocurrency OfferingsNASAASEC SEC and NASAA Statements on ICOs and More Enforcement Proceedings Laura Anthony, Esq.January 16, 2018 The message from the SEC is very clear: participants in initial coin offerings (ICO’s) and cryptocurrencies in general need to compl... 057900
Capital MarketsPenny Stocks Shifting Capital Markets; Bank of America’s Merrill Lynch Exits the Penny Stock Business Laura Anthony, Esq.October 23, 2018 November 4, 2018 There is a strange dichotomy building in the capital markets and what some are calling a clearing firm crisis. At the same time that... 054100
Regulation S-KRegulation S-XSECSmall Cap MarketSmaller Reporting Company SEC Amends Definition of “A Smaller Reporting Company” Laura Anthony, Esq.July 17, 2018 On June 28, 2018, the SEC adopted the much-anticipated amendments to the definition of a “smaller reporting company” as contained in... 050100
CryptocurrenciesSEC SEC Commissioner Hester Peirce Continues to Support Technology Laura Anthony, Esq.October 30, 2018 In three recent speeches, SEC Commissioner Hester Peirce continued to proclaim her support for technological innovation and freedom... 047000
ICOsInitial Coin Offerings SEC Provides Enforcement Driven Guidance On Digital Asset Issuances And Trading Laura Anthony, Esq.December 26, 2018 On November 16, 2018, the SEC settled two actions involving cryptocurrency offerings which settlement requires the registration of t... 046600
BlockchainBlockchain TechnologyCFTCDistributed Ledger TechnologyDLTInitial Coin OfferingsInitial Cryptocurrency OfferingsRegulation A+ Securities Token Or Not? A Case Study – Part II Laura Anthony, Esq.October 2, 2018 This is the second part in my three-part series laying out fact patterns and discussing whether a specific digital asset is a securi... 043200
Cryptocurrencies Security or Utility Token? A Case Study – Part I Laura Anthony, Esq.September 25, 2018 September 26, 2018 Is it a security or is it a utility, currency, commodity or some other digital asset? That question has been continuously raised by... 042300