IPONASDAQNASDAQ Listing RequirementsNYSE NYSE American Compliance Guidance MEMO Laura Anthony, Esq.February 26, 2019 In January, NYSE Regulation sent out its yearly Compliance Guidance Memo to NYSE American listed companies. The annual letter update... 049100
Form S-3 S-3 Eligibility Laura Anthony, Esq.February 19, 2019 February 19, 2019 The ability to use an S-3 registration statement is significant for exchange traded companies. An S-3 allows forward incorporation... 02.1K00
SEC SEC Cautionary Statement on Audits of Public Companies Operating in China Laura Anthony, Esq.February 12, 2019 Eight years following the crash of the Chinese reverse merger boom and a slew of SEC enforcement proceedings, the SEC is once again... 029700
Regulation S-KRegulation S-XSECThe FAST Act Updated Disclosures for Mining Companies Laura Anthony, Esq.February 5, 2019 In the 4th quarter of 2018, the SEC finalized amendments to the disclosure requirements for mining companies under the Securities Ac... 036600