Uncategorized Division of Enforcement 2019 Annual Report Laura Anthony, Esq.December 24, 2019 December 24, 2019 As my firm does not practice in the enforcement arena, it is not an area I always write about, but this year I found a few trends th... 023800
Uncategorized Drill Down On NASDAQ Audit Committee Requirements Laura Anthony, Esq.December 17, 2019 December 17, 2019 I’ve written several times about Nasdaq listing requirements including the general listing requirements and the significant listing... 01.6K00
Uncategorized SEC Proposed Amendments To Rule Governing Proxy Advisory Firms Laura Anthony, Esq.December 10, 2019 December 10, 2019 As anticipated on November 5, 2019, the SEC issued two highly controversial rule proposals. The first is to amend Exchange Act... 022200
Uncategorized Nasdaq Board Independence Standards Laura Anthony, Esq.December 3, 2019 December 3, 2019 Nasdaq Rule 5605 delineates the listing qualifications and requirements for a board of directors and committees, including the indep... 02.5K00
Uncategorized SEC Proposes To Tighten Shareholder Proposal Thresholds Laura Anthony, Esq.November 26, 2019 November 26, 2019 As anticipated on November 5, 2019, the SEC issued two highly controversial rule proposals. The first is to amend&nb... 022500
Uncategorized SEC Investor Advisory Committee Meeting Laura Anthony, Esq.November 19, 2019 November 19, 2019 On November 7, 2019, the SEC Investor Advisory Committee held a meeting on the topics of (i) whether investors use environ... 023600
Uncategorized SEC Solicits Input To Improve Markets For Thinly Traded Securities Laura Anthony, Esq.November 12, 2019 November 12, 2019 On October 17, 2019, the SEC made a statement inviting stock exchanges and market participants to submit “innovative propo... 023600
Uncategorized The SEC, FinCEN And CFTC Issue A Joint Statement On Digital Assets Laura Anthony, Esq.November 5, 2019 November 5, 2019 On October 11, 2019 the SEC, FinCEN and CFTC issued a joint statement on activities involving digital assets. Various agencies... 030100
Uncategorized Incorporation By Reference Laura Anthony, Esq.October 29, 2019 October 29, 2019 During lulls in the very active rule changes and blog-worthy news coming from the SEC and related regulators, it is great to step ba... 02.7K00
Uncategorized SEC Testifies At House Financial Services Committee Hearing Laura Anthony, Esq.October 22, 2019 October 22, 2019 On September 24, 2019, all five SEC commissioners gave testimony to, and were questioned by, members of the U.S. House of Representa... 021900