Blockchain TechnologyCybersecurityCybersecurity DisclosuresDistributed Ledger TechnologyDLTSECSEC Guidance SEC Strategic Plan Laura Anthony, Esq.September 18, 2018 On June 19, 2018, the SEC published a draft Strategic Plan and requested public comment on the Plan. The Strategic Plan would guide... 035100
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... 037400
Accredited InvestorsSECSEC Advisory CommitteeSEC Guidance SEC Advisory Committee On Small And Emerging Companies Issues Further Recommendations On Accredited Investor Definition Laura Anthony, Esq.August 2, 2016 September 6, 2016 026700
Regulation S-KRegulation S-XSECSEC Advisory CommitteeSEC GuidanceSmaller Reporting CompanyThe FAST Act SEC Proposes Amendments To Definition Of “Small Reporting Company” Laura Anthony, Esq.July 12, 2016 December 5, 2016 033400
Private OfferingsSECSEC GuidanceSection 4(a)(6)Uncategorized SEC Advisory Committee On Small And Emerging Companies Reviews Capital Formation Laura Anthony, Esq.March 22, 2016 028600
Dodd-Frank ActJOBS ACTRegulation S-KSECSEC GuidanceThe FAST ActUncategorized SEC Gives Insight On 2016 Initiatives Laura Anthony, Esq.March 8, 2016 026900
Regulation S-KRegulation S-XSECSEC GuidanceSmaller Reporting CompanyThe FAST ActUncategorized SEC’s Financial Disclosure Requirements For Sub-Entities Of Registered Companies Laura Anthony, Esq.February 16, 2016 As required by the JOBS Act, in 2013 the SEC launched its Disclosure Effectiveness Initiative and has been examining disclosure requ... 037200
Finder's FeesFINRAFINRA ComplianceSECSEC GuidanceSecurities AttorneyUncategorized SEC Advisory Committee Recommendations Related To Finders Laura Anthony, Esq.November 24, 2015 025700
SECSEC GuidanceSEC Investor AlertSecurities AttorneySecurities AttorneysSecurities Law FirmUncategorized SEC Issues Investor Alert Warning That Fantasy Stock Trading Websites May Violate Securities Laws Laura Anthony, Esq.September 15, 2015 047800
Bad Actor RulesBad ActorsGoing Public AttorneysRule 505Rule 506SEC GuidanceUncategorized SEC Issues Guidance On “Voting Power” For Purposes Of Bad Actor Rules Laura Anthony, Esq.July 21, 2015 043000