Laura Anthony, Esq.

In December 2019 the OTC Markets updated its Pink Disclosure Guidelines and Attorney Letter Agreement and Guidelines.  The Pink...

Continuing its disclosure effectiveness initiative, on January 30, 2020, the SEC proposed amendments to Management’s Discussion &...

The Nasdaq Stock Market currently has three tiers of listed companies: (1) The Nasdaq Global Select Market, (2) The N...

In late 2019, the SEC published its latest version of its semiannual regulatory agenda and plans for rulemaking with the U.S. Office...

A public company with a class of securities registered under Section 12 or which is subject to Section 15(d) of the Securities Excha...

NYSE American Company Guide Rule 803 delineates the requirements independent directors and audit committees. NYSE American Company G...

Four years after issuing its report on the definition of “accredited investors” in December 2015, the SEC has published a proposed r...

Effective December 12, 2019, the OTC Markets has implemented changes to the initial and continued quotation requirements for compani...

As my firm does not practice in the enforcement arena, it is not an area I always write about, but this year I found a few trends th...

I’ve written several times about Nasdaq listing requirements including the general listing requirements and the significant listing...