IPONASDAQNASDAQ Listing RequirementsNYSE NYSE American Compliance Guidance MEMO Laura Anthony, Esq.February 26, 2019 In January, NYSE Regulation sent out its yearly Compliance Guidance Memo to NYSE American listed companies. The annual letter update... 057600
Blockchain TechnologyIPONASDAQNYSESEC An IPO Without The SEC Laura Anthony, Esq.January 29, 2019 January 29, 2019 On January 23, 2019, biotechnology company Gossamer Bio, Inc., filed an amended S-1 pricing its $230 million initial public offering... 079700
Classes of StockExchange Traded Funds (ETFs)IPOPublic CompanySECSEC Investor Alert Multiple Classes of Stock and the Public Company Laura Anthony, Esq.May 29, 2018 May 29, 2018 In March 2017, Snap Inc. completed its IPO, selling only non-voting Class A common shares to the investing public and beginning an o... 084900
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
IPONASDAQNASDAQ Listing Requirements NASDAQ Issues Report Advocating for The U.S. Public Markets Laura Anthony, Esq.October 24, 2017 Before SEC Commissioner Michael Piwowar’s May 16, 2017, speech at the SEC-NYU Dialogue on Securities Market Regulation regarding the... 039400
IPOSEC SEC Commissioner Piwowar Speaks On The IPO Market Laura Anthony, Esq.July 18, 2017 July 18, 2017 On May 16, 2017, SEC Commissioner Michael Piwowar gave the opening remarks to the SEC-NYU Dialogue on Securities Market Regul... 044800
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
IPOJOBS ACTJOBS ACT and CrowdfundingSEC SEC Completes Inflation Adjustment Under Titles I And III Of The Jobs Act; Adopts Technical Amendments Laura Anthony, Esq.April 25, 2017 On March 31, 2017, the SEC adopted several technical amendments to rules and forms under both the Securities Act of 1933 (“Securitie... 046500
IPOOTC MarketOTC Markets Listing RequirementsOTCQXOTCQX Listing RequirementsUncategorized OTC Markets Amends IPO Listing Standards for OTCQX Laura Anthony, Esq.May 31, 2016 043300
Form S-1IPOS-1 Registration StatementSection 3(a)(39)Section 4(a)(7)The FAST ActUncategorized The Fast Act (Fixing American’s Surface Transportation Act) Laura Anthony, Esq.December 15, 2015 040700