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FINRA Granted Oversight Of OTC Markets In The 211 Process
Clearly not completely pleased with the power bestowed on OTC Markets as part of the amended Rule 15c2-11, on June 9, 2021, FINRA fi...
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Finders – Part 2
Following the SEC’s proposed conditional exemption for finders (see HERE), the topic of finders has been front and center. New York...
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NYSE Continues To Struggle With Direct Listing Rule Changes
Late last year, around the same time that the SEC approved Nasdaq rule changes related to direct listings on the...
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SEC Adopts Amendments To Accredited Investor Definition
The much anticipated amendments to the accredited investor definition and definition of qualified institutional buyer under Rul...
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SEC’s Financial Disclosure Requirements For Sub-Entities Of Registered Companies
As required by the JOBS Act, in 2013 the SEC launched its Disclosure Effectiveness Initiative and has been examining disclosure requ...
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Public Market Listing Standards
One of the bankers that I work with often once asked me if I had written a blog with a side-by-side comparison of listing on Nasdaq ...
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