Uncategorized SEC Proposed Conditional Exemption For Finders Laura Anthony, Esq.November 20, 2020 November 20, 2020 Over the years I have written many times about exemptions to the broker-dealer registration requirements for entities and individual... 061000
Uncategorized SEC Issues Transitional FAQ On Regulation S-K Amendments Laura Anthony, Esq.November 27, 2020 November 27, 2020 The recent amendments to Items 101, 103 and 105 of Regulation S-K (see HERE) went into effect on November 9, 2020, raising many ques... 049300
SEC SEC Adopts Amendments To Business Descriptions, Risk Factors And Legal Proceedings Laura Anthony, Esq.November 6, 2020 Just eight months following the rule proposal (see HERE), on August 26, 2020, the SEC adopted final amendments to Item 101 – descrip... 047200
Uncategorized SEC Adopts Amendments To Tighten Shareholder Proposals Laura Anthony, Esq.November 13, 2020 Following a tense period of debate and comments, on September 23, 2020, the SEC adopted amendments to Rule 14a-8 governing sharehold... 025900