Uncategorized SEC Spring 2020 Regulatory Agenda Laura Anthony, Esq.August 21, 2020 August 21, 2020 In July 2020, the SEC published its latest version of its semiannual regulatory agenda and plans for rulemaking ... 029600
Regulation SHORisk AlertSEC GuidanceSecurities AttorneysUncategorized SEC Issued Risk Alert on Options Trading Used to Evade Short Sale Requirements Laura Anthony, Esq.August 15, 2013 029400
Uncategorized Disclosures Related To COVID-19 – SEC Updates Laura Anthony, Esq.July 4, 2020 July 4, 2020 Last week the SEC Office of the Chief Accountant (OCA) made a public statement on the importance of high-quality financial repo... 029300
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... 029300
Uncategorized Proposed 2021 U.S. Budget Laura Anthony, Esq.July 9, 2020 July 9, 2020 In February, the Office of Management and Budget released the proposed fiscal 2021 United States government budget. The b... 029100
Uncategorized SEC Proposed Rule Changes for Exempt Offerings – Part 3 Laura Anthony, Esq.May 29, 2020 May 29, 2020 On March 4, 2020, the SEC published proposed rule changes to harmonize, simplify and improve the exempt offering framework... 029000
Insider TradingSecurities AttorneysUncategorized Securities Attorneys Must Self-Regulate to Avoid Potential Insider Trading Pitfalls Laura Anthony, Esq.October 30, 2009 Attorneys who accept stock as compensation from public companies need to be aware of a vigilant regarding their insider trading obli... 028700
SECSmall Cap MarketUncategorized SEC Congressional Testimony– Part II Laura Anthony, Esq.April 28, 2015 028600
Uncategorized SEC Statements On Capital Markets Amid Covid-19 Laura Anthony, Esq.July 31, 2020 July 31, 2020 On June 25, 2020, SEC Chair Jay Clayton gave testimony before the Investor Protection, Entrepreneurship and Capital M... 028600
CrowdfundingJOBS ACTJOBS ACT and CrowdfundingRule 144ARule 506Securities AttorneysUncategorized American Bar Association Comments On Title II Of The JOBS Act Laura Anthony, Esq.June 11, 2012 Summary of Title II Title II of the JOBS Act provides that, within 90 days of the passage of the JOBS Act (i.e. July 5, 2012), the... 028500