Uncategorized Climate Disclosure Guidance Laura Anthony, Esq.October 21, 2021 October 21, 2021 Ahead of the imminent publication of updated climate disclosure rules, the SEC has published a sample comment letter providing compa... 026400
Uncategorized Consequences Of Failing To File A Form D Laura Anthony, Esq.September 26, 2021 September 26, 2021 I often get calls from clients or potential clients that have engaged in exempt offerings, have not filed a Form D and are wondering... 03K00
Uncategorized China Based Companies Continue To Face US Capital Market Scrutiny Laura Anthony, Esq.September 6, 2021 On March 24, 2021, the SEC adopted interim final amendments to implement the congressionally mandated submission and disclosure requ... 023100
Uncategorized Caremark Eroded – Director Liability In Delaware Laura Anthony, Esq.March 5, 2021 This year has marked a string of cases eroding the long history of Delaware’s board of director protections from breach of fiduciary... 071700
Uncategorized Covid-19 Disclosures – Not Just Speculation Anymore Laura Anthony, Esq.October 21, 2020 Now that the market can review and dissect two quarters of Covid-related disclosures and reporting companies are gearing up for thir... 024100
Uncategorized Conditional Relief For Persons Affected By Coronavirus Laura Anthony, Esq.March 27, 2020 March 27, 2020 As the whole world faces unprecedented personal and business challenges, our duty to continue to run our businesses, meet regulatory... 016500
CEO/CFO Certification RequirementsForm 10-KForm 10-QForm 8-KSarbanes-Oxley Act of 2002Section 15(d)Uncategorized CEO and CFO Certifications for Forms 10-Q and 10-K Laura Anthony, Esq.August 26, 2014 03.9K00
Direct Public Offering (DPO)Free Writing ProspectusGun JumpingIPOJOBS ACTRule 134Rule 135Safe HarborsSection 5Securities AttorneysSmall Cap MarketUncategorized Corporate Communications During the Public Offering Process; Avoid Gun Jumping Laura Anthony, Esq.August 12, 2014 078600
Broker-DealerJOBS ACT and CrowdfundingRule 506Section 3(a)(39)Uncategorized Case Study of Online Funding as Related to Broker-Dealer Exemptions Laura Anthony, Esq.July 7, 2014 033500
Concurrent Private and Public OfferingsCorporate LawGun JumpingPrivate PlacementRegulation DRule 144S-1 Registration StatementSafe HarborsSection 4(2)Section 4(a)(2)Securities AttorneysUncategorized Concurrent Public and Private Offerings Laura Anthony, Esq.April 8, 2014 142400