SEC The Under $300 Million Market Cap Class Laura Anthony, Esq.March 19, 2019 Depending on whom you ask, a public company with less than $300 million market cap could be considered a micro-cap company, a penny... 068700
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... 062300
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... 060490
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... 058900
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
IPONASDAQNASDAQ Listing RequirementsNYSE NYSE American Compliance Guidance MEMO Laura Anthony, Esq.February 26, 2019 In January, NYSE Regulation sent out its yearly Compliance Guidance Memo to NYSE American listed companies. The annual letter update... 047600
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
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... 040800
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