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
SECSmaller Reporting Company SEC Updates CDI Related to Smaller Reporting Company Definition Laura Anthony, Esq.January 8, 2019 On June 28, 2018, the SEC adopted the much-anticipated amendments to the definition of a “smaller reporting company” as contained in... 055200
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
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
Emerging Growth Company (EGC)SEC SEC Proposes Expanding Testing The Waters For All Companies Laura Anthony, Esq.March 5, 2019 As anticipated, on February 19, 2019 the SEC voted to propose an expansion of the ability to “test the waters” prior to the effectiv... 037100
SEC SEC Rules For Disclosure Of Hedging Policies Laura Anthony, Esq.March 12, 2019 In December 2018, the SEC approved final rules to require companies to disclose practices or policies regarding the ability of emplo... 030900
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... 029300
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 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 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