PCAOB AuditingSarbanes-Oxley Act of 2002SEC GuidanceUncategorized Analysis of Section 404(b) of the Sarbanes-Oxley Act of 2002 for Non-Accelerated Filers Laura Anthony, Esq.October 15, 2009 Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord... 059900
Uncategorized OTC PINK Companies Now Qualify For Equity Line Financing Laura Anthony, Esq.August 29, 2021 Without fanfare, the issuance of guidance, or any other formal notice, the SEC quietly changed its policy related to the filing of a... 059500
DAD/PALOTC MarketOTC Markets Listing RequirementsOTC PinkOTC Pink Listing RequirementsOTCBBOTCQBOTCQB and OTCQXOTCQB Listing RequirementsOTCQXOTCQX Listing RequirementsSection 12Uncategorized OTCQX Listing and Quotation Eligibility and Requirements for International Companies Laura Anthony, Esq.September 8, 2014 059400
Uncategorized SEC Proposes Amendments To Rule 144 Laura Anthony, Esq.December 31, 2020 I’ve been at this for a long time and although some things do not change, the securities industry has been a roller coaster of chang... 059000
Form 10Form 10-KForm 10-QForm 8-KRegulation S-KRule 144Rule 144ASchedule 14CSmaller Reporting CompanyUncategorized Will the Disclosure Modernization and Simplification Act of 2014 Simplify Reporting Requirements for ECG’s and Smaller Reporting Companies? Laura Anthony, Esq.December 23, 2014 058900
C&DIClawback RulesSECSecurities AttorneySecurities AttorneysSecurities Law FirmUncategorized SEC Proposed Executive Compensation Clawback Rules Laura Anthony, Esq.August 3, 2015 058800
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 058700
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... 058700
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... 058500
Uncategorized SEC Re-Opens Comments On The Use Of Universal Proxy Cards Laura Anthony, Esq.June 4, 2021 On April 16, 2021, the SEC voted to reopen the comment period on the proposed rules for the use of Universal proxy cards in all non-... 058300