C&DIRule 506SEC SEC Issues Guidance On Integration With A 506(c) Offering Laura Anthony, Esq.January 10, 2017 On November 17, 2016, the SEC Division of Corporation Finance issued a new Compliance and Disclosure Interpretations (C&DI) rela... 067800
Blank Check CompaniesForm S-1Public ShellReverse MergersSECUncategorized SEC Footnote 32 and Sham S-1 Registration Statements Laura Anthony, Esq.September 29, 2015 065600
SEC What Does The SEC Do And What Is Its Purpose? Laura Anthony, Esq.February 14, 2017 February 15, 2017 As I write about the myriad of constantly changing and progressing securities law-related policies, rules, regulations, guidance and... 063100
Regulation ARegulation A+SEC SEC Issues Additional Guidance on Regulation A+ Laura Anthony, Esq.June 20, 2017 June 26, 2017 On March 31, 2017, the SEC Division of Corporation Finance issued six new Compliance and Disclosure Interpretations (C&DI) to pr... 062500
C&DISEC SEC Issues Additional C&DI On Use Of Non-GAAP Measures Laura Anthony, Esq.August 7, 2018 On April 4, 2018, the SEC issued two new Compliance & Disclosure Interpretations (C&DI) related to the use of non-GAAP finan... 060300
Blockchain TechnologyDistributed Ledger TechnologyInitial Coin OfferingsInitial Cryptocurrency OfferingsNASAASEC SEC and NASAA Statements on ICOs and More Enforcement Proceedings Laura Anthony, Esq.January 16, 2018 The message from the SEC is very clear: participants in initial coin offerings (ICO’s) and cryptocurrencies in general need to compl... 058900
Direct Public Offering (DPO)DTC ChillDTC EligibilityFINRAForm S-1Going PublicGoing Public AttorneysIPOLawCast NetworkNASDAQNASDAQ Listing RequirementsNYSE MKTNYSE MKT Listing RequirementsOTC MarketOTC Markets Listing RequirementsReverse MergersRule 144SECUncategorized Going Public Transactions For Smaller Companies: Direct Public Offering And Reverse Merger Laura Anthony, Esq.June 30, 2015 056800
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... 056500
C&DISEC SEC Issues New C&DI On Abbreviated Debt Tender And Debt Exchange Offers Laura Anthony, Esq.January 31, 2017 February 1, 2017 ABA Journal’s 10th Annual Blawg 100 —————————————̵... 056400
SECSmaller Reporting Company SEC Updates CDI Related to Smaller Reporting Company Definition Laura Anthony, Esq.January 8, 2019 On June 28, 2018, the SEC adopted the much-anticipated amendments to the definition of a “smaller reporting company” as contained in... 055900