November 13, 2018

This summer the Delaware legislature passed several amendments to the Delaware General Corporation Law (DGCL) which impact public an...

0.9K

SEC

Financial Statement Disclosure Relief Under Rule 3-13

Laura Anthony, Esq.

November 6, 2018

Rule 3-13 of Regulation S-X allows a company to request relief from the SEC from the financial statement disclosure requirements if...

1.3K

Cryptocurrencies SEC

SEC Commissioner Hester Peirce Continues to Support Technology

Laura Anthony, Esq.

October 30, 2018

In three recent speeches, SEC Commissioner Hester Peirce continued to proclaim her support for technological innovation and freedom...

761

Capital Markets Penny Stocks

Shifting Capital Markets; Bank of America’s Merrill Lynch Exits the Penny Stock Business

Laura Anthony, Esq.

October 23, 2018 November 4, 2018

There is a strange dichotomy building in the capital markets and what some are calling a clearing firm crisis. At the same time that...

882

SEC

SEC Adopts Amendments to Simplify Disclosure Requirements

Laura Anthony, Esq.

October 16, 2018 November 4, 2018

In August the SEC voted to adopt amendments to certain disclosure requirements in Regulations S-K and S-X (the “S-K and S-X Amendmen...

418

Blockchain Technology

Securities Token Or Not? A Case Study – Part III

Laura Anthony, Esq.

October 9, 2018

This is the third part in my three-part series laying out fact patterns and discussing whether a specific digital asset is a securit...

536

Blockchain Blockchain Technology CFTC Distributed Ledger Technology DLT Initial Coin Offerings Initial Cryptocurrency Offerings Regulation A+

Securities Token Or Not? A Case Study – Part II

Laura Anthony, Esq.

October 2, 2018

This is the second part in my three-part series laying out fact patterns and discussing whether a specific digital asset is a securi...

663

Cryptocurrencies

Security or Utility Token? A Case Study – Part I

Laura Anthony, Esq.

September 25, 2018 September 26, 2018

Is it a security or is it a utility, currency, commodity or some other digital asset? That question has been continuously raised by...

730

Blockchain Technology Cybersecurity Cybersecurity Disclosures Distributed Ledger Technology DLT SEC SEC Guidance

SEC Strategic Plan

Laura Anthony, Esq.

September 18, 2018

On June 19, 2018, the SEC published a draft Strategic Plan and requested public comment on the Plan. The Strategic Plan would guide...

615

Blockchain Blockchain Technology Distributed Ledger Technology DLT FINRA FINRA Compliance FINRA Rules

FINRA Examines Fintech Including Blockchain

Laura Anthony, Esq.

September 11, 2018

On July 30, 2018, the Financial Industry Regulatory Authority (FINRA) published a Special Notice seeking public comments on how FINR...

0.9K