SEC Equity Market Structure – Musings By The SEC; 15c2-11 And Penny Stocks Laura Anthony, Esq.April 23, 2019 April 23, 2019 In March, SEC Chairman Jay Clayton and Brett Redfearn, Director of the Division of Trading and Markets, gave a speech to the Gabelli... 040200
Uncategorized Mergers And Acquisitions; Board Of Directors Responsibilities – Delaware Laura Anthony, Esq.April 30, 2019 April 30, 2019 Recently the Delaware Chancery Court rejected an interested executive’s defense of a breach of fiduciary duty claim, reminding us of... 061600
NASDAQNASDAQ Listing RequirementsNYSE NASDAQ And NYSE American Shareholder Approval Requirements– Change Of Control Laura Anthony, Esq.April 9, 2019 April 9, 2019 Nasdaq and the NYSE American both have rules requiring listed companies to receive shareholder approval prior to issuing securities... 01.7K00
SEC SEC Adopts Rules to Amend Regulation S-K Laura Anthony, Esq.April 2, 2019 April 2, 2019 On March 20, 2019 the SEC adopted amendments to Regulation S-K as required by the Fixing America’s Surface Transportation Act (“FAST... 042700
SEC SEC Establishes Analysis Matrix for Digital Assets Laura Anthony, Esq.April 16, 2019 April 16, 2019 On April 3, 2019, the SEC’s Division of Corporation Finance published a “Framework for Investment Contract Analysis of Digital Asset... 042800