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.... 053900
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... 063300
Uncategorized Annual Report of Office of Advocate for Small Business Capital Formation Laura Anthony, Esq.May 14, 2021 The Office of the Advocate for Small Business Capital Formation (“Office”) issued its 2020 Annual Report and it breaks down one of t... 039000
Uncategorized The MEMX Laura Anthony, Esq.May 10, 2021 Although overshadowed by all things ESG and SPAC related, a new Wall Street backed national exchange, the Members Exchange (MEMX), l... 034600
Uncategorized ESG – Board of Directors and Auditor Matters Laura Anthony, Esq.April 30, 2021 In a series of blogs, that is likely to be an ongoing topic for the foreseeable future, I have been discussing the barrage of enviro... 041900
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... 03.2K00
Uncategorized SPAC Transactions Continue Amid SEC Cautionary Statements Laura Anthony, Esq.April 16, 2021 Since I wrote about the SPAC IPO boom in June 2020 (HERE), the trend has not waned. However, as soon as celebrities like Jay-Z, Sha... 040000
Uncategorized ESG Disclosures – A Continued Discussion Laura Anthony, Esq.April 9, 2021 In a series of blogs, I have been discussing the barrage of environmental, social and governance (ESG) related activity and focus by... 041800
Uncategorized ESG Investing and Ratings Laura Anthony, Esq.April 2, 2021 April 2, 2021 As I mentioned in the last blog in this series on ESG, back in September 2019, when I first wrote about environmental, social and go... 032300
Uncategorized ESG Matters – What a Difference A Year Makes Laura Anthony, Esq.March 26, 2021 What a difference a year makes – or should I say – what a difference an administration makes! Back in September 2019, when I first... 045600