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... 030500
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... 01.5K00
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... 030300
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... 03.5K00
Uncategorized FINRA Granted Oversight Of OTC Markets In The 211 Process Laura Anthony, Esq.September 18, 2021 Clearly not completely pleased with the power bestowed on OTC Markets as part of the amended Rule 15c2-11, on June 9, 2021, FINRA fi... 056500
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... 034100
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... 025500
Uncategorized OTC PINK Companies Now Qualify For Equity Line Financing Laura Anthony, Esq.August 29, 2021 Without fanfare, the issuance of guidance, or any other formal notice, the SEC quietly changed its policy related to the filing of a... 039700
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... 01.9K00
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... 01.8K00