Uncategorized Consequences Of Failing To File A Form D Laura Anthony, Esq.September 26, 2021 September 26, 2021 I often get calls from clients or potential clients that have engaged in exempt offerings, have not filed a Form D and are wondering... 02.8K00
Uncategorized FINRA Granted Oversight Of OTC Markets In The 211 Process Laura Anthony, Esq.September 18, 2021 Clearly not completely pleased with the power bestowed on OTC Markets as part of the amended Rule 15c2-11, on June 9, 2021, FINRA fi... 045100
Uncategorized SEC Approves Nasdaq Board Diversity Rule Laura Anthony, Esq.September 12, 2021 September 12, 2021 On August 6, 2021, the SEC approved Nasdaq’s board diversity listing standards proposal. Not surprisingly, the approval vote was di... 028700
Uncategorized China Based Companies Continue To Face US Capital Market Scrutiny Laura Anthony, Esq.September 6, 2021 On March 24, 2021, the SEC adopted interim final amendments to implement the congressionally mandated submission and disclosure requ... 021300