Uncategorized A Drill Down On Rule 506 Of Regulation D Laura Anthony, Esq.October 1, 2019 October 1, 2019 On June 18, 2019, the SEC issued a 211-page concept release and request for public comment on ways to simplify, harmonize, and impro... 01.5K00
Blockchain TechnologyIPONASDAQNYSESEC An IPO Without The SEC Laura Anthony, Esq.January 29, 2019 January 29, 2019 On January 23, 2019, biotechnology company Gossamer Bio, Inc., filed an amended S-1 pricing its $230 million initial public offering... 069300
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... 023100
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 Environmental, Social And Governance– The World Of ESG Laura Anthony, Esq.September 24, 2019 September 24, 2019 Over the past few years, the term “Environmental, Social and Governance” or “ESG” has been both first used and brought into daily us... 058300
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... 040000
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
Watch LaterAdded 08:29 Securities Law Firm LawCast Host Attorney Laura Anthony Talks Digital Currencies with Jeff Ramson of PCG Advisory Group March 16, 2019 April 10, 2022 LawCast Host Attorney Laura Anthony Talks Digital Currencies with Jeff Ramson of PCG Advisory Group- Jeff: I am Jeff Ransom CEO of P... 059690
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... 061500
Uncategorized NASDAQ And NYSE American Shareholder Approval Requirement – Equity Based Compensation Laura Anthony, Esq.May 7, 2019 May 7, 2019 Nasdaq and the NYSE American both have rules requiring listed companies to receive shareholder approval prior to issu... 01K00