Uncategorized The BSTX Laura Anthony, Esq.March 25, 2022 On January 27, 2022, the SEC approved the country’s 17th stock exchange, the first one of which will utilize blockchain technology. ... 01.4K00
Uncategorized The MEMX Laura Anthony, Esq.May 10, 2021 Although overshadowed by all things ESG and SPAC related, a new Wall Street backed national exchange, the Members Exchange (MEMX), l... 034500
Uncategorized The SEC Has Adopted Final Amendments To Rule 15C2-11; Major Change For OTC Markets Companies Laura Anthony, Esq.September 24, 2020 September 24, 2020 Despite an unusual abundance of comments and push-back, on September 16, 2020, one year after issuing proposed rules (see HERE)... 02.2K00
Uncategorized Terminating Section 15(d) Reporting; Determining Voluntary Reporting Status Laura Anthony, Esq.January 24, 2020 January 24, 2020 A public company with a class of securities registered under Section 12 or which is subject to Section 15(d) of the Securities Excha... 03K00
Uncategorized The SEC, FinCEN And CFTC Issue A Joint Statement On Digital Assets Laura Anthony, Esq.November 5, 2019 November 5, 2019 On October 11, 2019 the SEC, FinCEN and CFTC issued a joint statement on activities involving digital assets. Various agencies... 033800
Uncategorized The 20% Rule – Private Placements Laura Anthony, Esq.May 15, 2019 May 15, 2019 Nasdaq and the NYSE American both have rules requiring listed companies to receive shareholder approval prior to issuing t... 02.8K00
Uncategorized The Treasury Department Report To The President On FinTech And Innovation Laura Anthony, Esq.January 22, 2019 This summer, the U.S. Department of the Treasury issued a report to President Trump entitled “A Financial System That Creates Econom... 036400
SECUncategorized The Investment Adviser Advertising Rule Laura Anthony, Esq.December 27, 2017 On September 14, 2017, the SEC Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert identifying the most f... 041900
Depository Trust Company (DTC)DTC ChillDTC EligibilityDTC Global LocksNASDAQNYSE MKTRegulation SHOSECThe FAST ActUncategorized The U.S. Capital Markets Clearance And Settlement Process Laura Anthony, Esq.April 19, 2016 01.2K00
C&DIJOBS ACTJOBS ACT and CrowdfundingSection 15(d)The FAST ActUncategorized The SEC Issues Guidance On The FAST Act As It Relates To Savings And Loan Companies Laura Anthony, Esq.January 19, 2016 050400