Uncategorized SEC Proposes Amendments To Rule 144 Laura Anthony, Esq.December 31, 2020 I’ve been at this for a long time and although some things do not change, the securities industry has been a roller coaster of chang... 040600
Uncategorized SEC Adopts Amendments To Management Discussion And Analysis Laura Anthony, Esq.December 10, 2020 It has been a very busy year for SEC rule making, guidance, executive actions and all matters capital markets. Continuing its ongoi... 023900
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... 046600
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... 055900
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... 021900
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... 041400
SEC SEC Adopts Amendments To Disclosures Related To Acquisitions And Dispositions Of Businesses Laura Anthony, Esq.October 29, 2020 One year after proposing amendments to the financial statements and other disclosure requirements related to the acquisitions and di... 050100
Uncategorized SEC Proposed To Modernize Auditor Independence Rules Laura Anthony, Esq.October 9, 2020 October 9, 2020 As is usual, there are times where I find there are fewer current events to write about in the world of capital markets an... 029100
Watch LaterAdded 04:38 Securities Law Firm SEC Adopts Amendments To Accelerated And Large Accelerated Filer Definitions- Part 4 September 29, 2020 April 10, 2022 SEC Adopts Amendments To Accelerated And Large Accelerated Filer Definitions- Part 4- Detail on Amendments to Accelerated Filer and... 035610
Watch LaterAdded 05:34 Securities Law Firm SEC Adopts Amendments To Accelerated And Large Accelerated Filer Definitions- Part 3 September 29, 2020 April 10, 2022 SEC Adopts Amendments To Accelerated And Large Accelerated Filer Definitions- Part 3 – SEC Adopts Amendments To Accelerated An... 046420