Uncategorized SEC Adopts The Use Of Universal Proxy Cards Laura Anthony, Esq.December 27, 2021 On November 17, 2021, the SEC adopted final rules requiring parties in a contested election to use universal proxy cards that includ... 039500
Uncategorized SEC Updates Filing Fees And Payment Methods Laura Anthony, Esq.December 10, 2021 During the busiest capital markets boom most practitioners, including myself, have ever experienced, on October 13, 2021, in a whopp... 030600
Uncategorized SEC Affirms PCAOB Rules Implementing The Holding Foreign Companies Accountable Act Laura Anthony, Esq.December 1, 2021 On November 5, 2021, as part of the implementation of the Holding Foreign Companies Accountable Act (“HFCA”), the SEC approved PCAOB... 043100
Uncategorized SEC Re-Visits Executive Compensation Clawback Rules Laura Anthony, Esq.December 1, 2021 December 1, 2021 As expected, on October 14, 2021, the SEC re-opened the comment period on proposed rules on listing standards for the recovery of er... 035400
Uncategorized SEC Report On Meme Stocks Laura Anthony, Esq.November 17, 2021 November 17, 2021 On October 18, 2021, the SEC released a report on the meme stock craze that caused the securities of companies like GameStop Corp. t... 027000
Uncategorized SEC Cracking Down on The Crypto Wild West and Other Digital Asset Updates Laura Anthony, Esq.November 8, 2021 November 8, 2021 After a few years of relative dormancy, the SEC is once again targeting the flourishing cryptocurrency market. On August 3, 2021, S... 025100
Uncategorized SEC Chair Gary Gensler Testifies To Congress Laura Anthony, Esq.October 6, 2021 On September 14, 2021, SEC Chairman Gary Gensler gave testimony to the U.S. Senate Committee on Banking, Housing and Urban Affairs h... 027600
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... 030300
Uncategorized SEC Denies Expert Market – For Now Laura Anthony, Esq.August 22, 2021 As the compliance date for the new 15c2-11 rules looms near, on August 2, 2021, in a very short statement, the SEC shot down any nea... 01.8K00
Uncategorized SPAC Nasdaq Listing Standards Laura Anthony, Esq.August 15, 2021 I’ve written quite a bit about SPAC’s recently, but the last time I wrote about SPAC Nasdaq listing requirements, or any attempted c... 01.5K00