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... 01.1K00
Blue Sky LawsC&DIForm 1-AJOBS ACTRegulation ARegulation A+Rule 506Test The Waters Testing The Waters; Regulation A+ And S-1 Public Offerings – Part 1 Laura Anthony, Esq.July 19, 2016 183500
Direct Public Offering (DPO)Free Writing ProspectusGun JumpingIPOJOBS ACTRule 134Rule 135Safe HarborsSection 5Securities AttorneysSmall Cap MarketUncategorized Corporate Communications During the Public Offering Process; Avoid Gun Jumping Laura Anthony, Esq.August 12, 2014 077200
Broker Dealer Registration RequirementsBroker-DealerGoing PublicJOBS ACTJOBS ACT and CrowdfundingRule 144Rule 506Section 12Securities AttorneysUncategorized The SEC Establishes Key Exemption to the Broker-Dealer Registration Requirements for M&A Brokers Laura Anthony, Esq.February 18, 2014 059400
JOBS ACTJOBS ACT and CrowdfundingRegulation DRegulation D OfferingsRule 144ARule 506Uncategorized SEC Issues Guidance On General Solicitation And Advertising In Regulation D Offerings Laura Anthony, Esq.September 1, 2015 050400
Form S-1Free Writing ProspectusJOBS ACTPost- Filing PeriodPre-Effectiveness PeriodPre-Filing PeriodRegulation ARegulation A+Rule 134Rule 135SECSection 5Smaller Reporting CompanyTest The Waters Testing The Waters; Regulation A+ And S-1 Public Offerings – Part 2 Laura Anthony, Esq.July 26, 2016 045700
C&DIJOBS ACTJOBS ACT and CrowdfundingSection 15(d)The FAST ActUncategorized The SEC Issues Guidance On The FAST Act As It Relates To Savings And Loan Companies Laura Anthony, Esq.January 19, 2016 042500
FINRAJOBS ACTJOBS ACT and CrowdfundingPrivate PlacementRule 506Securities Attorneys New FINRA Rule 5123 Takes Effect Requiring Notice of Private Placements by Member Firms Laura Anthony, Esq.December 5, 2012 The Financial Industry Regulatory Authority has adopted new Rule 5123 requiring members to file notice of their participation in pri... 039900
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
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... 038200