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 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... 01.6K00
Uncategorized SEC Final Rule Changes For Exempt Offerings – Part 2 Laura Anthony, Esq.February 12, 2021 On November 2, 2020, the SEC adopted final rule changes to harmonize, simplify and improve the exempt offering framework. The new r... 073300
Uncategorized SEC Fall 2020 Regulatory Agenda Laura Anthony, Esq.May 21, 2021 The SEC’s latest version of its semiannual regulatory agenda and plans for rulemaking has been published in the federal register. T... 059600
Uncategorized SEC Final Rule Changes For Exempt Offerings – Part 3 Laura Anthony, Esq.February 19, 2021 On November 2, 2020, the SEC adopted final rule changes to harmonize, simplify and improve the exempt offering framework. The new r... 054200
Uncategorized SEC Final Rule Changes For Exempt Offerings – Part 1 Laura Anthony, Esq.February 5, 2021 On November 2, 2020, the SEC adopted final rule changes to harmonize, simplify and improve the exempt offering framework. The SEC h... 050400
Uncategorized SEC Chair Gary Gensler Testifies To Congress Laura Anthony, Esq.May 28, 2021 On May 6, 2021, new SEC Chair Gary Gensler made his debut, giving testimony to the House Financial Services Committee. Although Mr.... 046100
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... 043900
Uncategorized SEC Final Rule Changes For Exempt Offerings – Part 5 Laura Anthony, Esq.March 12, 2021 On November 2, 2020, the SEC adopted final rule changes to harmonize, simplify and improve the exempt offering framework. The new r... 040700