Uncategorized SPAC Shareholder Litigation – First Fire Laura Anthony, Esq.February 10, 2022 On January 3, 2022, the Delaware Court of Chancery denied a motion to dismiss a shareholder lawsuit against a SPAC’s sponsor, its di... 02.1K00
Uncategorized SEC Issues Guidance On Spring-Loaded Compensation Awards Laura Anthony, Esq.January 17, 2022 On November 29, 2021, the SEC issued accounting guidance on the recognition and disclosure of “spring-loaded awards” made to executi... 02.1K00
Broker Dealer Registration RequirementsBroker-DealerRule 506Section 3(a)(39)Section 3(a)(9)Uncategorized Exemption to Broker-Dealer Registration Requirements for Officers, Directors and Key Employees Laura Anthony, Esq.May 20, 2014 02.1K00
Uncategorized Disclosure Considerations Related To The Conflict In The Ukraine Laura Anthony, Esq.March 9, 2022 In addition to being a tragedy, the Russian attack on the Ukraine has disrupted businesses around the world, caused a spike in oil p... 02.1K00
Uncategorized SEC Proposes Rules Related To Securities Lending Market Laura Anthony, Esq.March 2, 2022 In November 2021, the SEC proposed new Exchange Act Rule 10c-1, which would require lenders of securities to provide the material te... 02.1K00
Delaware Corporate StatutesDelaware CorporationsMerger TransactionMergers And AcquisitionsUncategorized Mergers And Acquisitions; Appraisal Rights Laura Anthony, Esq.November 10, 2015 02.1K00
Corporate LawForm 10-KInsider TradingSchedule 13GSEC GuidanceSection 13Section 16Securities AttorneysSmall Cap MarketUncategorizedWhite Paper Section 16 Insider Reporting and Potential Liability for Short-Swing Trading Practices Laura Anthony, Esq.June 30, 2014 02K00
Uncategorized SEC Proposes Amendments To Rule 10b5-1 Insider Trading Plans Laura Anthony, Esq.January 17, 2022 As expected from the Spring 2021 Regulatory Agenda, on December 15, 2021, the SEC proposed amendments to Rule 10b5-1 under the Secur... 01.9K00
Uncategorized NASDAQ And NYSE American Shareholder Approval Requirement – Equity Based Compensation Laura Anthony, Esq.May 7, 2019 May 7, 2019 Nasdaq and the NYSE American both have rules requiring listed companies to receive shareholder approval prior to issu... 01.9K00
Direct Public Offering (DPO)Free Writing ProspectusGun JumpingIPOJOBS ACTRule 134Rule 135Safe HarborsSection 5Securities AttorneysSmall Cap MarketUncategorized Corporate Communications During the Public Offering Process; Avoid Gun Jumping Laura Anthony, Esq.August 12, 2014 01.9K00