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... 074300
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... 073800
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... 062600
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... 060300
Uncategorized ESG – The Disclosure Debate Continues Laura Anthony, Esq.July 2, 2021 The ESG debate continues, including within the SEC and amongst other regulators and industry participants. Firmly in support of ESG... 058700
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... 055100
Uncategorized Nasdaq Board Diversity Proposal Laura Anthony, Esq.July 16, 2021 July 16, 2021 Nasdaq has long been a proponent of environmental, social and governance (ESG) disclosures and initiatives, having published a guide... 053900
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... 053800
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... 052400
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... 051200