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Home Articles Posted by Laura Anthony, Esq. (Page 16)

Laura Anthony, Esq.

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The Treasury Department Report To The President On FinTech And Innovation

Laura Anthony, Esq.
January 22, 2019
This summer, the U.S. Department of the Treasury issued a report to President Trump entitled “A Financial System That Creates Econom...
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SEC

SEC Solicits Comment On Earnings Releases And Quarterly Reports

Laura Anthony, Esq.
January 15, 2019
On December 18, 2018, the SEC published a request for comment soliciting input on the nature, content, and timing of earnings releas...
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SECSmaller Reporting Company

SEC Updates CDI Related to Smaller Reporting Company Definition

Laura Anthony, Esq.
January 8, 2019
On June 28, 2018, the SEC adopted the much-anticipated amendments to the definition of a “smaller reporting company” as contained in...
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Regulation ARegulation A+SEC

Regulation A+ Now Available For Publicly Reporting Companies

Laura Anthony, Esq.
January 2, 2019
On December 19, 2018, the SEC adopted final rules allowing reporting companies to Rely on Regulation A to conduct securities offerin...
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ICOsInitial Coin Offerings

SEC Provides Enforcement Driven Guidance On Digital Asset Issuances And Trading

Laura Anthony, Esq.
December 26, 2018
On November 16, 2018, the SEC settled two actions involving cryptocurrency offerings which settlement requires the registration of t...
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NASDAQNASDAQ Listing RequirementsPrivate Investment in Public Equity (PIPE)

Nasdaq Amends Its 20% Dilution Shareholder Approval Rule

Laura Anthony, Esq.
December 18, 2018
Effective September 26, 2018, Nasdaq amended Rule 5635(d) to provide greater flexibility and certainty for companies to determine wh...
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BlockchainBlockchain TechnologyDistributed Ledger TechnologyDLTICOsInitial Coin OfferingsInitial Cryptocurrency OfferingsSEC

The SEC’s Strategic Hub For Innovation And Financial Technology

Laura Anthony, Esq.
December 11, 2018
Responding to the growing necessity, in mid-October the SEC launched a Strategic Hub for Innovation and Financial Technology (FinHub...
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SEC

Proposed Rule Changes To Simplify Registered Debt Offerings

Laura Anthony, Esq.
December 4, 2018
This summer the SEC proposed rule changes to simplify disclosure requirements applicable to registered debt offerings for guarantors...
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Dodd-Frank ActRegulation ARegulation S-KRegulation S-XSECTest The WatersThe FAST ActXBRL

SEC Fall 2018 Regulatory Agenda

Laura Anthony, Esq.
November 27, 2018 November 27, 2018
In October 2018, the SEC posted its latest version of its semiannual regulatory agenda and plans for rulemaking with the U.S. Office...
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OTC MarketOTC Markets Listing RequirementsOTCQBOTCQB and OTCQXOTCQB Listing RequirementsOTCQXOTCQX Listing Requirements

Rule Changes for OTCQB and OTCQX

Laura Anthony, Esq.
November 20, 2018
Effective January 19, 2019, OTC Markets will require that all U.S.-incorporated OTCQB and OTCQX companies provide verified share dat...
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