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... 078800
Uncategorized SEC Spring 2021 Regulatory Agenda Laura Anthony, Esq.July 30, 2021 The first version of the SEC’s semiannual regulatory agenda and plans for rulemaking under the current administration has been publi... 031900
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 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... 052700
Uncategorized SEC Rules Requiring Disclosures for Resource Extraction Companies Laura Anthony, Esq.July 9, 2021 As required by the Dodd-Frank Act, in December 2020, the SEC adopted final rules requiring require resource extraction companies to... 033500
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... 057800
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 ... 01K00
Uncategorized SEC Announces It Will Not Enforce Amended Rules Governing Proxy Advisors Laura Anthony, Esq.June 18, 2021 On June 1, 2021, SEC Chair Gary Gensler and the SEC Division of Corporation Finance issued statements making it clear that the SEC w... 039100
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 SEC Re-Opens Comments On The Use Of Universal Proxy Cards Laura Anthony, Esq.June 4, 2021 On April 16, 2021, the SEC voted to reopen the comment period on the proposed rules for the use of Universal proxy cards in all non-... 032100