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... 02K00
Uncategorized SEC Adopts New Rule To Expand Testing The Waters For All Companies Laura Anthony, Esq.October 15, 2019 October 15, 2019 The SEC has adopted final rules allowing all issuers to test the waters prior to the effectiveness of a registration statement in a... 020700
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... 043300
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... 029100
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... 043400
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 Issues Guidance On Proxy Advisory Firms Laura Anthony, Esq.September 17, 2019 September 17, 2019 On August 29, 2019, the SEC issued anticipated guidance related to the application of the proxy rules to proxy advisory firms. ... 027700
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 SEC Proposes Amendments To 15c2-11 Laura Anthony, Esq.October 8, 2019 October 8, 2019 As anticipated, on September 26, 2019, the SEC published proposed amendments to Securities Exchange Act (“Exchange Act”)&n... 022100
Uncategorized SEC Proposes Amendments to Accelerated and Large Accelerated Filer Definitions Laura Anthony, Esq.May 21, 2019 May 21, 2019 As promised by SEC Chair Jay Clayton almost a year ago when the SEC amended the definition of a “smaller reporting company” as conta... 020900