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... 051600
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... 048300
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... 048200
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... 048200
Regulation ARegulation A+ Regulation A+ Continues To Grow Laura Anthony, Esq.April 17, 2018 The new Regulation A/A+, which went into effect on June 19, 2015, is now three years old and continues to develop and gain market ac... 046300
BlockchainBlockchain TechnologyCryptocurrenciesCybersecurityDistributed Ledger TechnologyDLTSEC The SEC Has Provided Guidance On Ether and Bitcoin, Sort Of Laura Anthony, Esq.June 19, 2018 June 21, 2018 On June 14, 2018, William Hinman, the Director of the SEC Division of Corporation Finance, gave a speech at Yahoo Finance’s All Mark... 044500
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... 044500
FINRAFINRA ComplianceFINRA RulesSEC The Treasury Department Report To The President On Capital Markets Laura Anthony, Esq.February 27, 2018 February 27, 2018 In October 2017, the U.S. Department of the Treasury issued a report to President Trump entitled “A Financial System That Creates Ec... 044400
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... 042900
C&DIGAAPRegulation GRegulation S-KSEC SEC Issues C&DI On Use Of Non-GAAP Measures Laura Anthony, Esq.January 30, 2018 On October 17, 2017, the SEC issued two new Compliance & Disclosure Interpretations (C&DI) related to the use of non-GAAP fi... 040500