Uncategorized ESG – The Disclosure Debate Continues Laura Anthony, Esq.July 2, 2021 The ESG debate continues, including within the SEC and amongst other regulators and industry participants. Firmly in support of ESG... 057200
Uncategorized ESG – Board of Directors and Auditor Matters Laura Anthony, Esq.April 30, 2021 In a series of blogs, that is likely to be an ongoing topic for the foreseeable future, I have been discussing the barrage of enviro... 036700
Uncategorized ESG Disclosures – A Continued Discussion Laura Anthony, Esq.April 9, 2021 In a series of blogs, I have been discussing the barrage of environmental, social and governance (ESG) related activity and focus by... 031500
Uncategorized ESG Investing and Ratings Laura Anthony, Esq.April 2, 2021 April 2, 2021 As I mentioned in the last blog in this series on ESG, back in September 2019, when I first wrote about environmental, social and go... 027700
Uncategorized ESG Matters – What a Difference A Year Makes Laura Anthony, Esq.March 26, 2021 What a difference a year makes – or should I say – what a difference an administration makes! Back in September 2019, when I first... 040200
Uncategorized Environmental, Social And Governance– The World Of ESG Laura Anthony, Esq.September 24, 2019 September 24, 2019 Over the past few years, the term “Environmental, Social and Governance” or “ESG” has been both first used and brought into daily us... 058300
Broker Dealer Registration RequirementsBroker-DealerRule 506Section 3(a)(39)Section 3(a)(9)Uncategorized Exemption to Broker-Dealer Registration Requirements for Officers, Directors and Key Employees Laura Anthony, Esq.May 20, 2014 01.1K00
14c Information StatementOTCBBSchedule 14ASchedule 14CSEC GuidanceSEC Proxy RulesSEC Schedule 14ASection 14Securities AttorneysUncategorized Elements Constituting “Solicitation” Such that a 14A Proxy Solicitation is Required Instead of a 14C Information Statement Under the Section 14 Proxy Rules of the Securities Exchange Act of 1934 Laura Anthony, Esq.October 20, 2009 Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord... 061600
Rule 144Securities AttorneysUncategorized Examination of Rule 144 and Potential Interpretations Laura Anthony, Esq.October 6, 2009 Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord... 020500