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 A Resolution For SPAC Warrant Accounting Laura Anthony, Esq.June 25, 2021 On April 12, 2021, the SEC effectively chilled SPAC activity by announcing that it had examined warrant accounting in several SPACs ... 00.9K00
Uncategorized A Review of FINRA’s Corporate Finance Rule Laura Anthony, Esq.October 6, 2021 As the strongest U.S. IPO market in decades continues unabated, it seems a good time to talk about underwriter’s compensation. FINR... 01.3K00
Uncategorized Annual Report of Office of Advocate for Small Business Capital Formation Laura Anthony, Esq.May 14, 2021 The Office of the Advocate for Small Business Capital Formation (“Office”) issued its 2020 Annual Report and it breaks down one of t... 035000
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... 051700
Uncategorized Caremark Eroded – Director Liability In Delaware Laura Anthony, Esq.March 5, 2021 This year has marked a string of cases eroding the long history of Delaware’s board of director protections from breach of fiduciary... 071300
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... 023000
Uncategorized Climate Disclosure Guidance Laura Anthony, Esq.October 21, 2021 October 21, 2021 Ahead of the imminent publication of updated climate disclosure rules, the SEC has published a sample comment letter providing compa... 026200
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... 03K00
Uncategorized Digital Asset Securities – Progress For Broker Dealers Laura Anthony, Esq.August 15, 2021 In December 2020, the SEC issued a statement and request for comment regarding the custody of digital asset securities by broker-dea... 078600