Uncategorized The MEMX Laura Anthony, Esq.May 10, 2021 Although overshadowed by all things ESG and SPAC related, a new Wall Street backed national exchange, the Members Exchange (MEMX), l... 029400
Broker-DealerFINRAUncategorized The New FINRA Broker Background Check Rule Laura Anthony, Esq.March 24, 2015 July 13, 2017 044400
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 051500
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 060900
Uncategorized The SEC Has Adopted Final Amendments To Rule 15C2-11; Major Change For OTC Markets Companies Laura Anthony, Esq.September 24, 2020 September 24, 2020 Despite an unusual abundance of comments and push-back, on September 16, 2020, one year after issuing proposed rules (see HERE)... 01.9K00
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 026000
C&DIJOBS ACTJOBS ACT and CrowdfundingSection 15(d)The FAST ActUncategorized The SEC Issues Guidance On The FAST Act As It Relates To Savings And Loan Companies Laura Anthony, Esq.January 19, 2016 044400
Uncategorized The SEC, FinCEN And CFTC Issue A Joint Statement On Digital Assets Laura Anthony, Esq.November 5, 2019 November 5, 2019 On October 11, 2019 the SEC, FinCEN and CFTC issued a joint statement on activities involving digital assets. Various agencies... 030100
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
SECSEC Penalties ActUncategorized The Stronger Enforcement Of Civil Penalties Act; A Push For Higher SEC Penalties Laura Anthony, Esq.September 22, 2015 023800