Laura Anthony, Esq.

As anticipated on November 5, 2019, the SEC issued two highly controversial rule proposals.  The first is to amend Exchange Act...

Nasdaq Rule 5605 delineates the listing qualifications and requirements for a board of directors and committees, including the indep...

As anticipated on November 5, 2019, the SEC issued two highly controversial rule proposals.  The first is to amend&nb...

On November 7, 2019, the SEC Investor Advisory Committee held a meeting on the topics of (i) whether investors use environ...

On October 17, 2019, the SEC made a statement inviting stock exchanges and market participants to submit “innovative propo...

On October 11, 2019 the SEC, FinCEN and CFTC issued a joint statement on activities involving digital assets.  Various agencies...

During lulls in the very active rule changes and blog-worthy news coming from the SEC and related regulators, it is great to step ba...

On September 24, 2019, all five SEC commissioners gave testimony to, and were questioned by, members of the U.S. House of Representa...

The SEC has adopted final rules allowing all issuers to test the waters prior to the effectiveness of a registration statement in a...

As anticipated, on September 26, 2019, the SEC published proposed amendments to Securities Exchange Act (“Exchange Act”)&n...