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Home Archive by Category "Uncategorized" (Page 16)

Uncategorized

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ALL A B C D E F G H I J K L M N O P Q R S T U V W X Y Z

OTCQX Rule Changes

Laura Anthony, Esq.

January 4, 2020 January 4, 2020

Effective December 12, 2019, the OTC Markets has implemented changes to the initial and continued quotation requirements for compani...

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SEC Re-Visits Executive Compensation Clawback Rules

Laura Anthony, Esq.

December 1, 2021 December 1, 2021

As expected, on October 14, 2021, the SEC re-opened the comment period on proposed rules on listing standards for the recovery of er...

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DAD/PAL LawCast Network OTC Market OTC Markets Listing Requirements OTC Pink OTC Pink Listing Requirements OTCBB OTCQB OTCQB and OTCQX OTCQB Listing Requirements OTCQX OTCQX Listing Requirements Uncategorized White Paper

OTC Markets Quotation Levels, Listing Requirements, and Comprehensive Pubco Criteria

Laura Anthony, Esq.

February 10, 2015

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Dodd-Frank Act FINRA Rule 144 SEC Securities Attorney Securities Attorneys The FAST Act Uncategorized

House Passes More Securities Legislation

Laura Anthony, Esq.

March 15, 2016

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DAD/PAL OTC Market OTC Markets Listing Requirements OTC Pink OTC Pink Listing Requirements OTCBB OTCQB OTCQB and OTCQX OTCQB Listing Requirements OTCQX OTCQX Listing Requirements Section 12 Uncategorized

OTCQX Listing and Quotation Eligibility and Requirements for International Companies

Laura Anthony, Esq.

September 8, 2014

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FINRA FINRA Compliance OTC Market OTCBB OTCQB OTCQB and OTCQX OTCQX Pinksheets Uncategorized

FINRA Seeks to Eliminate the OTCBB and Impose Regulations on the OTC Markets

Laura Anthony, Esq.

October 28, 2014

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SPAC Transactions Continue Amid SEC Cautionary Statements

Laura Anthony, Esq.

April 16, 2021

Since I wrote about the SPAC IPO boom in June 2020 (HERE), the trend has not waned. However, as soon as celebrities like Jay-Z, Sha...

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Form S-1 IPO S-1 Registration Statement Section 3(a)(39)Section 4(a)(7)The FAST Act Uncategorized

The Fast Act (Fixing American’s Surface Transportation Act)

Laura Anthony, Esq.

December 15, 2015

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Form D JOBS ACT NASAA Regulation A Regulation A+Regulation D Rule 144 Uncategorized

First Issuer Completes NASAA Coordinated Review For Regulation A Offering

Laura Anthony, Esq.

December 30, 2014

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Accredited Investors SEC Guidance Uncategorized

SEC Advisory Committee On Small And Emerging Companies’ Recommendations On Accredited Investor Definition

Laura Anthony, Esq.

March 17, 2015

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All rights reserved. Anthony L.G., PLLC

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