Form 10Form 10-KForm 10-QPay Versus PerformanceSecurities AttorneysSmall Cap MarketUncategorized SEC Proposed Pay Versus Performance Laura Anthony, Esq.May 19, 2015 052100
Broker Dealer Registration RequirementsBroker-DealerFINRASECSmall Cap MarketUncategorized SEC Proposes Broadening Of Broker-Dealer Registration Rules To Include Proprietary And High-Frequency Traders Laura Anthony, Esq.May 12, 2015 053500
IPONASAASmall Cap MarketUncategorized SEC Advisory Committee On Small And Emerging Companies Explores Venture Exchanges, Private And Secondary Securities Trading and The NASAA Coordinated Review Program- Part I Laura Anthony, Esq.May 5, 2015 044500
SECSmall Cap MarketUncategorized SEC Congressional Testimony– Part II Laura Anthony, Esq.April 28, 2015 044500
Bad Actor RulesBad ActorsC&DIRegulation ARegulation DUncategorized SEC Division of Corporation Finance Issues Guidance On Bad Actor Waivers Laura Anthony, Esq.April 21, 2015 058400
Dodd-Frank ActJOBS ACTSECSecurities AttorneysSmall Cap MarketUncategorized SEC Congressional Testimony- Part I Laura Anthony, Esq.April 14, 2015 047500
Uncategorized SEC Cracks Down On Confidentiality Agreements As Violating Whistleblower Rights And Protections Laura Anthony, Esq.April 7, 2015 033800
NASAARegulation ARegulation A+Securities AttorneysSmall Cap MarketUncategorized SEC Has Published Final Rules Adopting Regulation A+ Laura Anthony, Esq.March 31, 2015 070500
Broker-DealerFINRAUncategorized The New FINRA Broker Background Check Rule Laura Anthony, Esq.March 24, 2015 July 13, 2017 071900
Accredited InvestorsSEC GuidanceUncategorized SEC Advisory Committee On Small And Emerging Companies’ Recommendations On Accredited Investor Definition Laura Anthony, Esq.March 17, 2015 056100
