Dodd-Frank ActRegulation ARegulation S-KRegulation S-XSECTest The WatersThe FAST ActXBRL SEC Fall 2018 Regulatory Agenda Laura Anthony, Esq.November 27, 2018 November 27, 2018 In October 2018, the SEC posted its latest version of its semiannual regulatory agenda and plans for rulemaking with the U.S. Office... 036000
Depository Trust Company (DTC)Dodd-Frank ActFINRASarbanes-Oxley Act of 2002SECSEC Guidance SEC Chair Jay Clayton Discusses Direction Of SEC Laura Anthony, Esq.August 1, 2017 In a much talked about speech to the Economic Club of New York on July 12, 2017, SEC Chairman Jay Clayton set forth his thoughts on... 036100
CEO/CFO Certification RequirementsDodd-Frank ActSarbanes-Oxley Act of 2002SEC SEC Completes Inflation Adjustment To Civil Penalties Laura Anthony, Esq.March 21, 2017 ABA Journal’s 10th Annual Blawg 100 —————————————̵... 036100
Dodd-Frank ActSEC SEC Whistleblower Awards Pass $100 Million As It Continues To Crack Down On Confidentiality Provisions In Employment Agreements Laura Anthony, Esq.September 27, 2016 The SEC has proudly announced that including a $22 million award on August 30, 2016, its whistleblower awards have surpassed $100 mi... 020700
Dodd-Frank ActJOBS ACTRegulation S-KSECSEC GuidanceThe FAST ActUncategorized SEC Gives Insight On 2016 Initiatives Laura Anthony, Esq.March 8, 2016 025600
Dodd-Frank ActJOBS ACTSECSecurities AttorneysSmall Cap MarketUncategorized SEC Congressional Testimony- Part I Laura Anthony, Esq.April 14, 2015 024500
Dodd-Frank ActForm 8-KJOBS ACTProxy StatementSEC Schedule 14ASmall Cap MarketSmaller Reporting CompanyUncategorized Say-On-Pay for Smaller Reporting Companies Laura Anthony, Esq.May 6, 2014 039000
Bad Actor RulesBad ActorsDodd-Frank ActRule 506SEC GuidanceSecurities AttorneysUncategorized SEC Guidance on Rules Disqualifying Bad Actors from Participating in Rule 506 Offerings Laura Anthony, Esq.December 17, 2013 030500
Bad Actor RulesBad ActorsDodd-Frank ActJOBS ACTJOBS ACT and CrowdfundingRegulation DRule 506SEC GuidanceSecurities AttorneysUncategorized SEC has Finalized Rules Disqualifying Felons and Other “Bad Actors” from Rule 506 Offerings Laura Anthony, Esq.July 31, 2013 026000
CrowdfundingDodd-Frank ActJOBS ACTJOBS ACT and CrowdfundingRegulation DSecurities AttorneysUncategorized SEC Will Not Meet Deadline to Remove Ban on General Solicitation and Advertising in Private Offerings and Hedge Funds Laura Anthony, Esq.June 29, 2012 The SEC won't make the 90-day deadline to draft rules and enact Title II of the JOBS Act eliminating the ban on advertising and gene... 017800