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... 045000
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 —————————————̵... 047400
CEO/CFO Certification RequirementsForm 10-KForm 10-QForm 8-KSarbanes-Oxley Act of 2002Section 15(d)Uncategorized CEO and CFO Certifications for Forms 10-Q and 10-K Laura Anthony, Esq.August 26, 2014 04.6K00
CrowdfundingJOBS ACTRegulation DReverse MergersSarbanes-Oxley Act of 2002SEC GuidanceSecurities AttorneysUncategorized Crowdfunding Act Signed Into Law Laura Anthony, Esq.April 16, 2012 On April 5, 2012 President Obama signed the JOBS Act into law. In accordance with the JOBS Act requirement that all crowdfunding pl... 034400
Due DiligencePCAOB AuditingSarbanes-Oxley Act of 2002 Public Company Compliance – Selecting An Auditor Laura Anthony, Esq.May 21, 2011 he Sarbanes Oxley Act of 2002 (SOX) created the PCAOB, which is the Public Company Accounting Oversight Board. All public company a... 037600
PCAOB AuditingSarbanes-Oxley Act of 2002SEC GuidanceUncategorized Analysis of Section 404(b) of the Sarbanes-Oxley Act of 2002 for Non-Accelerated Filers Laura Anthony, Esq.October 15, 2009 Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord... 043100