Uncategorized Audit Committees – NYSE American Laura Anthony, Esq.January 29, 2021 Like Nasdaq, I’ve written several times about the NYSE American listing requirements including the general listing requirements (see... 050100
SEC SEC Amendments To Rules Governing Proxy Advisory Firms Laura Anthony, Esq.January 22, 2021 In a year of numerous regulatory amendments and proposals, Covid, newsworthy capital markets events, and endless related topics, and... 032200
Uncategorized Finders – Part 2 Laura Anthony, Esq.January 15, 2021 Following the SEC’s proposed conditional exemption for finders (see HERE), the topic of finders has been front and center. New York... 043600
Uncategorized SEC Modernizes Auditor Independence Rules Laura Anthony, Esq.January 8, 2021 On October 16, 2020, the SEC adopted amendments to codify and modernize certain aspects of the auditor independence framework. The... 035300