Uncategorized 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... 035900
Uncategorized SEC Report On Meme Stocks Laura Anthony, Esq.November 17, 2021 November 17, 2021 On October 18, 2021, the SEC released a report on the meme stock craze that caused the securities of companies like GameStop Corp. t... 027500
Uncategorized SEC Cracking Down on The Crypto Wild West and Other Digital Asset Updates Laura Anthony, Esq.November 8, 2021 November 8, 2021 After a few years of relative dormancy, the SEC is once again targeting the flourishing cryptocurrency market. On August 3, 2021, S... 025500
Uncategorized SEC Chair Gary Gensler Testifies To Congress Laura Anthony, Esq.October 6, 2021 On September 14, 2021, SEC Chairman Gary Gensler gave testimony to the U.S. Senate Committee on Banking, Housing and Urban Affairs h... 027800
Uncategorized SEC Approves Nasdaq Board Diversity Rule Laura Anthony, Esq.September 12, 2021 September 12, 2021 On August 6, 2021, the SEC approved Nasdaq’s board diversity listing standards proposal. Not surprisingly, the approval vote was di... 030400
Uncategorized SEC Denies Expert Market – For Now Laura Anthony, Esq.August 22, 2021 As the compliance date for the new 15c2-11 rules looms near, on August 2, 2021, in a very short statement, the SEC shot down any nea... 01.8K00
Uncategorized SPAC Nasdaq Listing Standards Laura Anthony, Esq.August 15, 2021 I’ve written quite a bit about SPAC’s recently, but the last time I wrote about SPAC Nasdaq listing requirements, or any attempted c... 01.5K00
Uncategorized SEC Spring 2021 Regulatory Agenda Laura Anthony, Esq.July 30, 2021 The first version of the SEC’s semiannual regulatory agenda and plans for rulemaking under the current administration has been publi... 031800
Uncategorized SEC Rules Requiring Disclosures for Resource Extraction Companies Laura Anthony, Esq.July 9, 2021 As required by the Dodd-Frank Act, in December 2020, the SEC adopted final rules requiring require resource extraction companies to... 033500
Uncategorized SEC Announces It Will Not Enforce Amended Rules Governing Proxy Advisors Laura Anthony, Esq.June 18, 2021 On June 1, 2021, SEC Chair Gary Gensler and the SEC Division of Corporation Finance issued statements making it clear that the SEC w... 039000