Uncategorized Drill Down On NASDAQ Audit Committee Requirements Laura Anthony, Esq.December 17, 2019 December 17, 2019 I’ve written several times about Nasdaq listing requirements including the general listing requirements and the significant listing... 01.8K00
Uncategorized Disclosure Considerations Related To The Conflict In The Ukraine Laura Anthony, Esq.March 9, 2022 In addition to being a tragedy, the Russian attack on the Ukraine has disrupted businesses around the world, caused a spike in oil p... 01.4K00
Uncategorized Digital Asset Securities – Progress For Broker Dealers Laura Anthony, Esq.August 15, 2021 In December 2020, the SEC issued a statement and request for comment regarding the custody of digital asset securities by broker-dea... 085800
Broker-DealerDirect Public Offering (DPO)Due DiligenceFINRAForm 10Funding PortalsGoing PublicGoing Public AttorneysMerger TransactionNASDAQOTC MarketOTCBBOTCQB and OTCQXPrivate Investment in Public Equity (PIPE)Public Shell CompanyReverse MergersRule 144S-1 Registration StatementSEC Rule 15c2-11Securities AttorneysUncategorized Direct Public Offering or Reverse Merger; Know Your Best Option for Going Public Laura Anthony, Esq.January 21, 2014 078900
Blank Check CompaniesDirect Public Offering (DPO)Form 10Form S-1OTC MarketPublic Shell CompanyRule 144Rule 419S-1 Registration StatementSEC GuidanceSmall Cap MarketUncategorized Direct Public Offerings by Shell Companies- Tread Carefully Laura Anthony, Esq.July 29, 2014 065400
Penny StocksRisk AlertRule 144Section 4(a)(4)Section 5Uncategorized Depositing Penny Stocks with Brokers Creates Obstacles; SEC Charges E*Trade with Section 5 Violation Laura Anthony, Esq.October 14, 2014 061700
Attorney Fee ProvisionsDelaware Corporate StatutesDelaware CorporationsUncategorized Delaware General Corporate Law Amended to Prohibit Fee-Shifting Clauses; Permit Forum Selection Provisions Laura Anthony, Esq.August 11, 2015 043900
Attorney Fee ProvisionsDelaware Corporate StatutesDelaware CorporationsUncategorized Delaware General Corporate Law; 2014 Amendments Summarized Laura Anthony, Esq.December 9, 2014 030800
Uncategorized Disclosures Related To Covid-19 – What Investors Want To Know Laura Anthony, Esq.June 5, 2020 June 5, 2020 ’ve written several times about the need for Covid-19 disclosures including public statements by Chair Clayton and William... 028000
Uncategorized Disclosures Related To COVID-19 – SEC Updates Laura Anthony, Esq.July 4, 2020 July 4, 2020 Last week the SEC Office of the Chief Accountant (OCA) made a public statement on the importance of high-quality financial repo... 027200