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... 020900
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 047000
Pay Ratio Disclosure RulesSECSecurities AttorneySecurities AttorneysUncategorized SEC Has Adopted Final Pay Ratio Disclosure Rules Laura Anthony, Esq.September 8, 2015 028200
C&DIClawback RulesSECSecurities AttorneySecurities AttorneysSecurities Law FirmUncategorized SEC Proposed Executive Compensation Clawback Rules Laura Anthony, Esq.August 3, 2015 036400
Form 10Form 10-KForm 10-QPay Versus PerformanceSecurities AttorneysSmall Cap MarketUncategorized SEC Proposed Pay Versus Performance Laura Anthony, Esq.May 19, 2015 027300
Dodd-Frank ActJOBS ACTSECSecurities AttorneysSmall Cap MarketUncategorized SEC Congressional Testimony- Part I Laura Anthony, Esq.April 14, 2015 025600
NASAARegulation ARegulation A+Securities AttorneysSmall Cap MarketUncategorized SEC Has Published Final Rules Adopting Regulation A+ Laura Anthony, Esq.March 31, 2015 049000
Accredited InvestorsC&DIRule 506SEC GuidanceSection 4(a)(2)Securities AttorneysSmall Cap MarketUncategorized SEC Extends Valuable Guidance to Determine and Verify Accredited Investors Laura Anthony, Esq.July 15, 2014 030400
Corporate LawForm 10-KInsider TradingSchedule 13GSEC GuidanceSection 13Section 16Securities AttorneysSmall Cap MarketUncategorizedWhite Paper Section 16 Insider Reporting and Potential Liability for Short-Swing Trading Practices Laura Anthony, Esq.June 30, 2014 01K00
CrowdfundingForm 10Form 10-QJOBS ACTRegulation ARegulation A+Regulation DRule 144SEC Rule 15c2-11Securities Attorneys SEC Proposes Rules for Regulation A+ Laura Anthony, Esq.February 25, 2014 027800