April 17, 2018

The new Regulation A/A+, which went into effect on June 19, 2015, is now three years old and continues to develop and gain market ac...

706

SEC

The Division of Corporation Finance’s Disclosure Review And Comment Process

Laura Anthony, Esq.

April 11, 2018

Those that regularly read my blog know that I sometimes like to go back to basics. This blog will revisit and discuss the SEC’s Divi...

498

SEC

The SEC’s 2018 Flex Regulatory Agenda

Laura Anthony, Esq.

April 3, 2018

In December 2017, the SEC posted its latest version of its semiannual regulatory agenda and plans for rulemaking with the U.S. Offic...

471

Cybersecurity Cybersecurity Disclosures SEC SEC Guidance

The SEC Has Issued New Guidance On Cybersecurity Disclosures

Laura Anthony, Esq.

March 27, 2018 April 2, 2018

On February 20, 2018, the SEC issued new interpretative guidance on public company disclosures related to cybersecurity risks and in...

506

15c2-11 Application Broker Dealer Registration Requirements FINRA FINRA Compliance FINRA Rules OTC Market OTC Markets Listing Requirements OTC Pink OTC Pink Listing Requirements OTCQB OTCQB Listing Requirements OTCQX OTCQX Listing Requirements

OTC Markets Issues Comment Letters On FINRA Rules 6432 And 5250; The 15c2-11 Rules

Laura Anthony, Esq.

March 20, 2018

January 8, 2018, OTC Markets Group, Inc. (“OTC Markets”) submitted a comment letter to FINRA related to FINRA Rule 6432. Rule 6432...

SEC Small Business Capital Formation

The 2017 SEC Government-Business Forum On Small Business Capital Formation

Laura Anthony, Esq.

March 13, 2018

On November 30, 2017, the SEC held its annual Government-Business Forum on Small Business Capital Formation (the “Forum”). It will b...

468

Blockchain Blockchain Technology CFTC Cryptocurrencies Distributed Ledger Technology DLT Initial Coin Offerings Initial Cryptocurrency Offerings

The Senate Banking Committee’s Hearing On Cryptocurrencies

Laura Anthony, Esq.

March 6, 2018

On February 6, 2018, the United States Senate Committee on Banking Housing and Urban Affairs (“Banking Committee”) held a hearing on...

785

FINRA FINRA Compliance FINRA Rules SEC

The Treasury Department Report To The President On Capital Markets

Laura Anthony, Esq.

February 27, 2018 February 27, 2018

In October 2017, the U.S. Department of the Treasury issued a report to President Trump entitled “A Financial System That Creates Ec...

659

Blockchain Technology CFTC Cryptocurrencies Distributed Ledger Technology SEC

The CFTC And Cryptocurrencies

Laura Anthony, Esq.

February 20, 2018

The SEC and U.S. Commodity Futures Trading Commission (CFTC) have been actively policing the crypto or virtual currency space. Both...

524

PCAOB Auditing SEC

The New Auditor Report

Laura Anthony, Esq.

February 13, 2018

In October 2017, the SEC approved a new rule by the Public Company Accounting Oversight Board (PCAOB) requiring significant changes...

618