Emerging Growth Company (EGC)SEC SEC Proposes Expanding Testing The Waters For All Companies Laura Anthony, Esq.March 5, 2019 As anticipated, on February 19, 2019 the SEC voted to propose an expansion of the ability to “test the waters” prior to the effectiv... 042700
Emerging Growth Company (EGC)IPOJOBS ACTSmaller Reporting CompanyThe FAST Act Emerging Growth Companies Will Start To Grow Up Laura Anthony, Esq.November 7, 2017 The first of emerging growth companies (“EGC’s”) will begin losing EGC status as the five-year anniversary of the creation of an EGC... 01.3K00
C&DIEmerging Growth Company (EGC)SECSmaller Reporting CompanyThe FAST Act The SEC Provides Further Guidance On Financial Statement Requirements In Registration Statements Laura Anthony, Esq.September 26, 2017 On August 17, 2017, the SEC issued guidance on financial statement requirements for confidential and public registration statement f... 060000
Broker Dealer Registration RequirementsBroker-DealerEmerging Growth Company (EGC)Finder's FeesFINRAFINRA ComplianceFINRA RulesForm 1-AM&A BrokersSmaller Reporting Company The Payment Of Finders’ Fees- An Ongoing Discussion Laura Anthony, Esq.July 5, 2017 Introduction As a recurring topic, I discuss exemptions to the broker-dealer registration requirements for entities and individuals... 02K00
Dodd-Frank ActEmerging Growth Company (EGC)SECSmaller Reporting CompanyThe Financial Choice Act 2.0 Financial Choice Act 2.0 Has Made Progress Laura Anthony, Esq.June 13, 2017 June 13, 2017 On June 8, 2017, the U.S. House of Representative passed the Financial Creating Hope and Opportunity for Investors, Consumers and En... 037400
Emerging Growth Company (EGC)Going PublicIPORegulation ARegulation FDRoad ShowsRule 163 Road Shows Laura Anthony, Esq.May 16, 2017 May 16, 2017 Introduction; Definitions We often hear the words “road show” associated with a securities offering. A road show is simply a series... 01.1K00
Emerging Growth Company (EGC)Smaller Reporting Company Smaller Reporting Companies vs. Emerging Growth Companies Laura Anthony, Esq.August 23, 2016 July 13, 2017 The topic of reporting requirements and distinctions between various categories of reporting companies has been prevalent over the p... 01.4K00