SECSecurities AttorneySecurities Attorneys SEC Announces Enforcement Results For Fiscal Year-End 2016 Laura Anthony, Esq.October 18, 2016 October 18, 2016 On October 11, 2016, the SEC announced its enforcement results for fiscal year-end September 30, 2016 (FYE 2016). In FYE 2016 the S... 021200
Finder's FeesFINRAFINRA ComplianceSECSEC GuidanceSecurities AttorneyUncategorized SEC Advisory Committee Recommendations Related To Finders Laura Anthony, Esq.November 24, 2015 025000
CrowdfundingIntrastate CrowdfundingIntrastate OfferingJOBS ACTJOBS ACT and CrowdfundingRule 147SECSEC Advisory CommitteeSecurities AttorneyUncategorized SEC Advisory Committee On Small And Emerging Companies Recommends Modernizing Rule 147 for Intrastate Crowdfunding Offerings Laura Anthony, Esq.October 13, 2015 036300
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 047200
Pay Ratio Disclosure RulesSECSecurities AttorneySecurities AttorneysUncategorized SEC Has Adopted Final Pay Ratio Disclosure Rules Laura Anthony, Esq.September 8, 2015 028300
C&DIClawback RulesSECSecurities AttorneySecurities AttorneysSecurities Law FirmUncategorized SEC Proposed Executive Compensation Clawback Rules Laura Anthony, Esq.August 3, 2015 036500