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... 051600
BlockchainBlockchain TechnologyCFTCCryptocurrenciesDistributed Ledger TechnologyDLTFINRASEC Online Platforms Trading Cryptocurrencies; Continued Uncertainty In Crypto Space Laura Anthony, Esq.June 5, 2018 I have been writing often about the cryptocurrency marketplace and the SEC and other regulators’ statements and concerns about compl... 041800
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... 085200
BlockchainBlockchain TechnologyCryptocurrenciesDistributed Ledger TechnologyDLTExchange Traded Funds (ETFs)ICOsInitial Coin OfferingsInitial Cryptocurrency OfferingsNYSESEC SEC Continues to Review, And Delay, Crypto Funds Laura Anthony, Esq.May 22, 2018 May 22, 2018 On January 18, 2018, the SEC issued a letter to the Investment Company Institute and the Securities Industry and Financial Markets A... 044100
Regulation S-KRegulation S-XSEC ABA Comment Letter On Disclosures Under Regulation S-K Laura Anthony, Esq.May 1, 2018 May 1, 2018 In December 2017, the American Bar Association (“ABA”) submitted its fourth comment letter to the SEC related to the financial and b... 040800
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... 034000
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... 030900
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... 036300
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... 032500
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... 051000