Uncategorized An Introduction to Promissory Notes Laura Anthony, Esq.August 4, 2011 A promissory note is a written promise by a person, persons or entity to pay a specific amount of money (called "principal") to anot... 01.9K00
Uncategorized A Drill Down On Rule 506 Of Regulation D Laura Anthony, Esq.October 1, 2019 October 1, 2019 On June 18, 2019, the SEC issued a 211-page concept release and request for public comment on ways to simplify, harmonize, and impro... 01.6K00
Uncategorized A Review of FINRA’s Corporate Finance Rule Laura Anthony, Esq.October 6, 2021 As the strongest U.S. IPO market in decades continues unabated, it seems a good time to talk about underwriter’s compensation. FINR... 01.3K00
Uncategorized A Resolution For SPAC Warrant Accounting Laura Anthony, Esq.June 25, 2021 On April 12, 2021, the SEC effectively chilled SPAC activity by announcing that it had examined warrant accounting in several SPACs ... 01K00
Uncategorized Audit Committees – NYSE American Laura Anthony, Esq.January 29, 2021 Like Nasdaq, I’ve written several times about the NYSE American listing requirements including the general listing requirements (see... 051800
Uncategorized A Covid IPO: The Virtual Roadshow Laura Anthony, Esq.October 2, 2020 October 2, 2020 Although many aspects of an IPO are unaffected by a pandemic, assuming the capital markets continue to have an appetite for public o... 046700
Uncategorized Annual Report of Office of Advocate for Small Business Capital Formation Laura Anthony, Esq.May 14, 2021 The Office of the Advocate for Small Business Capital Formation (“Office”) issued its 2020 Annual Report and it breaks down one of t... 035300
Hostile TakeoverNevada Corporate StatutesNevada StatutesSecurities AttorneySecurities AttorneysSecurities Law FirmUncategorized A Summary Of The 2015 Amendments To The Nevada Revised Statutes Laura Anthony, Esq.August 18, 2015 035100
PCAOB AuditingSarbanes-Oxley Act of 2002SEC GuidanceUncategorized Analysis of Section 404(b) of the Sarbanes-Oxley Act of 2002 for Non-Accelerated Filers Laura Anthony, Esq.October 15, 2009 Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord... 034700
Section 4(2)Securities AttorneysUncategorized An In-Depth Review of Private Placements Under Section 4(2) Laura Anthony, Esq.January 25, 2010 Section 4(2) of the Securities Act of 1933 provides that the registration requirements of Section 5 do not apply to “transactions by... 025100