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... 02.8K00
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... 02.5K00
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. ... 01.2K00
Private Investment in Public Equity (PIPE)Securities AttorneysUncategorized The Demise of the Death Spiral – SEC Interpretation of Rule 415 Laura Anthony, Esq.October 22, 2009 Without fanfare, publications, or other notice, in mid 2006, PIPE investors and the Issuers that utilized them noticed a big differe... 028200
FINRAFINRA ComplianceOTC MarketReverse SplitRule 10b-17Small Cap MarketUncategorized The ECOS Matter; When Is A Reverse Split Effective? Laura Anthony, Esq.September 30, 2014 034400
Form S-1IPOS-1 Registration StatementSection 3(a)(39)Section 4(a)(7)The FAST ActUncategorized The Fast Act (Fixing American’s Surface Transportation Act) Laura Anthony, Esq.December 15, 2015 030300
Corporate LawUncategorized The Federalism of State Corporate Law Laura Anthony, Esq.October 29, 2009 Historically the regulation of corporate law has been firmly within the power and authority of the states. However, over the past f... 028400
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... 036200
CrowdfundingJOBS ACTJOBS ACT and CrowdfundingRegulation DReverse MergersRule 144ARule 506Securities AttorneysUncategorized THE JOBS ACT IMPACT ON HEDGE FUND MARKETING Laura Anthony, Esq.May 8, 2012 On April 5, 2012 President Obama signed the Jumpstart Our Business Startups Act (JOBS Act) into law. The other day I blogged about... 020000
NYSE MKTSECSecurities AttorneySmall Cap MarketUncategorized The Materiality Standard; NYSE Amends Rules; FASB Proposed Guidance Laura Anthony, Esq.November 3, 2015 034200