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 Nasdaq Updated LAS Form Laura Anthony, Esq.December 20, 2021 Effective September 17, 2021, Nasdaq updated its Listing of Additional Shares (LAS) Form and the process for the review of such form... 058800
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... 035200
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 Public Market Listing Standards Laura Anthony, Esq.November 17, 2021 One of the bankers that I work with often once asked me if I had written a blog with a side-by-side comparison of listing on Nasdaq ... 031400
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 2021 Annual Report of Office of Advocate for Small Business Capital Formation Laura Anthony, Esq.October 31, 2021 The Office of the Advocate for Small Business Capital Formation (“Office”) has delivered a report to Congress following the 40th ann... 022100
Uncategorized OTCQX And OTCQB Rule Changes Laura Anthony, Esq.October 21, 2021 In September 2021, the OTCQB and OTCQX tiers of OTC Markets instituted amendments to their rules, to, among other things, align with... 028900