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
NASDAQNASDAQ Listing RequirementsNYSE NASDAQ And NYSE American Shareholder Approval Requirements– Change Of Control Laura Anthony, Esq.April 9, 2019 April 9, 2019 Nasdaq and the NYSE American both have rules requiring listed companies to receive shareholder approval prior to issuing securities... 01.7K00
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
NASDAQNASDAQ Listing RequirementsNYSENYSE MKT Listing Requirements The 20% Rule- Acquisitions Laura Anthony, Esq.March 26, 2019 Nasdaq and the NYSE American both have “20% Rules” requiring listed companies to receive shareholder approval prior to issuing unreg... 03.5K00
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... 068600
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
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
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
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... 047500
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