Uncategorized Updated Guidance On Confidential Treatment In SEC filings Laura Anthony, Esq.December 3, 2020 In March 2019, the SEC adopted amendments to Regulation S-K as required by the Fixing America’s Surface Transportation Act (“FAST Ac... 03.1K00
Uncategorized Terminating Section 15(d) Reporting; Determining Voluntary Reporting Status Laura Anthony, Esq.January 24, 2020 January 24, 2020 A public company with a class of securities registered under Section 12 or which is subject to Section 15(d) of the Securities Excha... 02.8K00
Uncategorized NYSE American Board Independence Standards Laura Anthony, Esq.January 19, 2020 January 19, 2020 NYSE American Company Guide Rule 803 delineates the requirements independent directors and audit committees. NYSE American Company G... 02.3K00
Uncategorized The SEC Has Adopted Final Amendments To Rule 15C2-11; Major Change For OTC Markets Companies Laura Anthony, Esq.September 24, 2020 September 24, 2020 Despite an unusual abundance of comments and push-back, on September 16, 2020, one year after issuing proposed rules (see HERE)... 01.8K00
Watch LaterAdded 04:55 Securities Law Firm The SPAC IPO Process July 5, 2020 April 10, 2022 The SPAC IPO Process- The SPAC IPO process is the same as any other IPO process. That is, the SPAC files a registration statement on... 01.5K340
Uncategorized OTCQB And OTC Pink Rule Changes Laura Anthony, Esq.February 21, 2020 February 21, 2020 In December 2019 the OTC Markets updated its Pink Disclosure Guidelines and Attorney Letter Agreement and Guidelines. The Pink... 01.1K00
Uncategorized New CDI On Mining Company Disclosures Laura Anthony, Esq.October 16, 2020 In the 4th quarter of 2018, the SEC finalized amendments to the disclosure requirements for mining companies under the Securities Ac... 01.1K00
Watch LaterAdded 07:34 Securities Law Firm Form S 3 And Baby Shelf Rule September 29, 2020 April 10, 2022 Form S-3 And Baby Shelf Rule- The SEC has issued FAQ on Covid-19 issues, including the impact on S-3 shelf registration statements.... 0835210
Uncategorized SEC Adopts Amendments To Accelerated And Large Accelerated Filer Definitions Laura Anthony, Esq.July 23, 2020 July 23, 2020 In March, 2020 the SEC adopted amendments to the definitions of an “accelerated filer” and “large accelerated filer.” The amen... 082400
SEC Intellectual Property And Technology Risks – International Business Operations Laura Anthony, Esq.December 23, 2020 December 23, 2020 In December 2019, the SEC Division of Corporation Finance issued CF Disclosure Guidance: Topic No. 8 providing guidance related to t... 082000