CrowdfundingIntrastate CrowdfundingJOBS ACTJOBS ACT and CrowdfundingSection 4(a)(6)Uncategorized Title III Crowdfunding Laura Anthony, Esq.December 22, 2015 037600
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 030300
NYSE MKTSECSecurities AttorneySmall Cap MarketUncategorized The Materiality Standard; NYSE Amends Rules; FASB Proposed Guidance Laura Anthony, Esq.November 3, 2015 034200
SECSEC Penalties ActUncategorized The Stronger Enforcement Of Civil Penalties Act; A Push For Higher SEC Penalties Laura Anthony, Esq.September 22, 2015 023600
Rule 144Rule 144ASection 4(a)(1)Uncategorized The Section 4(a)(1) And 4(a)(1½) Exemption; Recommendations For An Amendment To Rule 144 Related To Shell Companies Laura Anthony, Esq.June 23, 2015 03.7K00
Broker-DealerFINRAUncategorized The New FINRA Broker Background Check Rule Laura Anthony, Esq.March 24, 2015 July 13, 2017 044100
FINRAFINRA ComplianceOTC MarketReverse SplitRule 10b-17Small Cap MarketUncategorized The ECOS Matter; When Is A Reverse Split Effective? Laura Anthony, Esq.September 30, 2014 034500
Form 8-KOTCBBRule 144Section 15(d)Section 3(a)(10)Small Cap MarketUncategorized The Sale of Unregistered Securities Must Satisfy Form 8-K Filing Requirements In a 3(a)(10) Transaction Laura Anthony, Esq.August 5, 2014 051100
Broker Dealer Registration RequirementsBroker-DealerGoing PublicJOBS ACTJOBS ACT and CrowdfundingRule 144Rule 506Section 12Securities AttorneysUncategorized The SEC Establishes Key Exemption to the Broker-Dealer Registration Requirements for M&A Brokers Laura Anthony, Esq.February 18, 2014 060800
Form DRegulation DRule 156Rule 506SEC GuidanceSecurities AttorneysUncategorized The SEC has Issued Proposed Rules Amending Regulation D, Form D and Rule 156 – Part I Laura Anthony, Esq.August 20, 2013 025800