Uncategorized Section 12(g) Registration Laura Anthony, Esq.April 23, 2021 Unlike a Securities Act of 1933 (“Securities Act”) registration statement, a Securities Exchange Act of 1934 (“Exchange Act”) Sectio... 03.1K00
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 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
Uncategorized OTC Markets; Rule 144; The SPCC Laura Anthony, Esq.June 11, 2021 Small public companies are in trouble and they need help now! Once in a while there is a perfect storm forming that can only result... 01.5K00
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 NYSE Annual Compliance Guidance Memo And Amended Rules Laura Anthony, Esq.July 22, 2021 In January, NYSE Regulation sent out its yearly Compliance Guidance Memo to NYSE American listed companies. Although we are already... 01.2K00
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 Finders – Part 3 Laura Anthony, Esq.March 19, 2021 Following the SEC’s proposed conditional exemption for finders (see HERE), I’ve been writing a series of blogs on the topic of finde... 079600
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