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Home Archive by Category "Dodd-Frank Act" (Page 2)

Dodd-Frank Act

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ALL A B C D E F G H I J K L M N O P Q R S T U V W X Y Z

Dodd-Frank Act SEC SEC Guidance SEC Penalties Act

The Acting SEC Chair Has Trimmed Enforcement’s Subpoena Power

Laura Anthony, Esq.

April 4, 2017

In early February 2017, acting SEC Chair Michael Piwowar revoked the subpoena authority from approximately 20 senior SEC enforcement...

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Dodd-Frank Act JOBS ACT Regulation S-K SEC SEC Guidance The FAST Act Uncategorized

SEC Gives Insight On 2016 Initiatives

Laura Anthony, Esq.

March 8, 2016

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Dodd-Frank Act JOBS ACT JOBS ACT and Crowdfunding Regulation D Regulation S Securities Attorneys

An Overview of Exemptions for Hedge Fund Advisors: Exemptions for Advisors to Venture Capital Funds, Private Fund Advisors with Less Than $150 Million in Assets Under Management, and Foreign Private Advisors – Part IV

Laura Anthony, Esq.

September 17, 2013

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Dodd-Frank Act JOBS ACT SEC Securities Attorneys Small Cap Market Uncategorized

SEC Congressional Testimony- Part I

Laura Anthony, Esq.

April 14, 2015

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Bad Actor Rules Bad Actors Dodd-Frank Act JOBS ACT JOBS ACT and Crowdfunding Regulation D Rule 506 SEC Guidance Securities Attorneys Uncategorized

SEC has Finalized Rules Disqualifying Felons and Other “Bad Actors” from Rule 506 Offerings

Laura Anthony, Esq.

July 31, 2013

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Broker Dealer Registration Requirements Broker-Dealer Dodd-Frank Act FINRA JOBS ACT JOBS ACT and Crowdfunding Regulation D Rule 144A Rule 506 SEC Guidance Securities Attorneys

Will FINRA Rule Changes Related to Private Placement Further Deter Broker Dealers From Placing the Securities of Small Businesses?

Laura Anthony, Esq.

September 3, 2013

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Dodd-Frank Act SEC

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...

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Dodd-Frank Act JOBS ACT JOBS ACT and Crowdfunding Reverse Mergers Securities Attorneys Venture Capital

An Overview of Exemptions for Hedge Fund Advisors: Exemptions for Advisors to Venture Capital Funds, Private Fund Advisers with Less Than $150 Million in Assets Under Management, and Foreign Private Advisers – Part II

Laura Anthony, Esq.

May 21, 2013

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House Continues To Push For Reduced Securities Regulation

Laura Anthony, Esq.

October 4, 2016

House Appropriations Bill The House continues its busy activity of passing legislation designed to reduce securities and market regu...

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Crowdfunding Dodd-Frank Act JOBS ACT JOBS ACT and Crowdfunding Rule 506 Securities Attorneys

House Subcommittee Demands Explanation of SEC’s Delayed JOBS Act Rulemaking

Laura Anthony, Esq.

August 27, 2012

Title II of the JOBS Act provides that, within 90 days of the passage of the JOBS Act (i.e. July 5, 2012), the SEC will amend Sectio...

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Home
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Laura Anthony, Esq.
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