SEC The Under $300 Million Market Cap Class Laura Anthony, Esq.March 19, 2019 Depending on whom you ask, a public company with less than $300 million market cap could be considered a micro-cap company, a penny... 067700
BlockchainBlockchain TechnologyDistributed Ledger TechnologyDLTICOsInitial Coin OfferingsInitial Cryptocurrency OfferingsSEC The SEC’s Strategic Hub For Innovation And Financial Technology Laura Anthony, Esq.December 11, 2018 Responding to the growing necessity, in mid-October the SEC launched a Strategic Hub for Innovation and Financial Technology (FinHub... 048900
BlockchainBlockchain TechnologyCryptocurrenciesCybersecurityDistributed Ledger TechnologyDLTSEC The SEC Has Provided Guidance On Ether and Bitcoin, Sort Of Laura Anthony, Esq.June 19, 2018 June 21, 2018 On June 14, 2018, William Hinman, the Director of the SEC Division of Corporation Finance, gave a speech at Yahoo Finance’s All Mark... 042000
SEC The Division of Corporation Finance’s Disclosure Review And Comment Process Laura Anthony, Esq.April 11, 2018 Those that regularly read my blog know that I sometimes like to go back to basics. This blog will revisit and discuss the SEC’s Divi... 026400
SEC The SEC’s 2018 Flex Regulatory Agenda Laura Anthony, Esq.April 3, 2018 In December 2017, the SEC posted its latest version of its semiannual regulatory agenda and plans for rulemaking with the U.S. Offic... 025800
CybersecurityCybersecurity DisclosuresSECSEC Guidance The SEC Has Issued New Guidance On Cybersecurity Disclosures Laura Anthony, Esq.March 27, 2018 April 2, 2018 On February 20, 2018, the SEC issued new interpretative guidance on public company disclosures related to cybersecurity risks and in... 030600
SECSmall Business Capital Formation The 2017 SEC Government-Business Forum On Small Business Capital Formation Laura Anthony, Esq.March 13, 2018 On November 30, 2017, the SEC held its annual Government-Business Forum on Small Business Capital Formation (the “Forum”). It will b... 025300
FINRAFINRA ComplianceFINRA RulesSEC The Treasury Department Report To The President On Capital Markets Laura Anthony, Esq.February 27, 2018 February 27, 2018 In October 2017, the U.S. Department of the Treasury issued a report to President Trump entitled “A Financial System That Creates Ec... 042200
Blockchain TechnologyCFTCCryptocurrenciesDistributed Ledger TechnologySEC The CFTC And Cryptocurrencies Laura Anthony, Esq.February 20, 2018 The SEC and U.S. Commodity Futures Trading Commission (CFTC) have been actively policing the crypto or virtual currency space. Both... 028600
PCAOB AuditingSEC The New Auditor Report Laura Anthony, Esq.February 13, 2018 In October 2017, the SEC approved a new rule by the Public Company Accounting Oversight Board (PCAOB) requiring significant changes... 033400