Uncategorized Non-Fungible Tokens Laura Anthony, Esq.March 25, 2022 This one has been on my list for a while and I’m finally ready to dive in – non-fungible tokens (NFTs). In July 2017, the world of ... 01.3K00
Uncategorized Nasdaq Updated LAS Form Laura Anthony, Esq.December 20, 2021 Effective September 17, 2021, Nasdaq updated its Listing of Additional Shares (LAS) Form and the process for the review of such form... 059000
Uncategorized NYSE Annual Compliance Guidance Memo And Amended Rules Laura Anthony, Esq.July 22, 2021 In January, NYSE Regulation sent out its yearly Compliance Guidance Memo to NYSE American listed companies. Although we are already... 01.2K00
Uncategorized Nasdaq Board Diversity Proposal Laura Anthony, Esq.July 16, 2021 July 16, 2021 Nasdaq has long been a proponent of environmental, social and governance (ESG) disclosures and initiatives, having published a guide... 052400
Uncategorized New CDI On Mining Company Disclosures Laura Anthony, Esq.October 16, 2020 In the 4th quarter of 2018, the SEC finalized amendments to the disclosure requirements for mining companies under the Securities Ac... 01.1K00
Uncategorized NYSE Continues To Struggle With Direct Listing Rule Changes Laura Anthony, Esq.September 18, 2020 September 18, 2020 Late last year, around the same time that the SEC approved Nasdaq rule changes related to direct listings on the... 051700
Uncategorized Nasdaq Rule Amendments 2020 Laura Anthony, Esq.September 4, 2020 September 4, 2020 In addition to the temporary rule changes and relief that Nasdaq has provided this year for companies affected by Covid-19 (see HERE... 043600
Uncategorized Nasdaq Proposed Rule Changes To Its Discretionary Listing And Continued Listing Standards Laura Anthony, Esq.August 7, 2020 August 7, 2020 On April 21, 2020, the SEC Chairman Jay Clayton and a group of senior SEC and PCAOB officials issued a... 034600
Uncategorized NASDAQ Provides Additional Relief To Shareholder Approval Requirements For Companies Affected By Covid-19 Laura Anthony, Esq.May 22, 2020 May 22, 2020 Nasdaq has provided additional relief to listed companies through temporary rule 5636T easing shareholder approval require... 029000
Uncategorized NYSE, Nasdaq And OTC Markets Offer Relief For Listed Companies Due To COVID-19 Laura Anthony, Esq.April 24, 2020 April 24, 2020 In addition to the SEC, the various trading markets, including the Nasdaq, NYSE and OTC Markets are providing relief to trading... 049800