February 6, 2018

On January 19, 2018 and again on January 25, 2018, the SEC and CFTC divisions of enforcement issued joint statements regarding crypt...

521

C&DI GAAP Regulation G Regulation S-K SEC

SEC Issues C&DI On Use Of Non-GAAP Measures

Laura Anthony, Esq.

January 30, 2018

On October 17, 2017, the SEC issued two new Compliance & Disclosure Interpretations (C&DI) related to the use of non-GAAP fi...

661

C&DI Regulation D SEC

Multiple Changes To Private Offering Compliance And Disclosure Interpretations (C&DI)

Laura Anthony, Esq.

January 23, 2018 January 23, 2018

The SEC has been fine-tuning its Compliance and Disclosure Interpretations (C&DI), making multiple amendments, additions and del...

869

Blockchain Technology Distributed Ledger Technology Initial Coin Offerings Initial Cryptocurrency Offerings NASAA SEC

SEC and NASAA Statements on ICOs and More Enforcement Proceedings

Laura Anthony, Esq.

January 16, 2018

The message from the SEC is very clear: participants in initial coin offerings (ICO’s) and cryptocurrencies in general need to compl...

849

SEC SEC Advisory Committee SEC Guidance SEC Investor Alert SEC Penalties Act SEC Proxy Rules SEC Regulations on Crowdfunding SEC Rules on crowdfunding

The SEC’s 2017 Enforcement Priorities And Results

Laura Anthony, Esq.

January 9, 2018

No more broken windows! In a series of speeches by various top brass at the SEC followed by the publication of the SEC Enforcement...

532

Blockchain Technology Distributed Ledger Technology

State Distributed Ledger Technology and Blockchain Regulations

Laura Anthony, Esq.

January 2, 2018 January 2, 2018

In a time of rapidly changing regulations and policies on all securities industry and corporate finance topics, and the development...

1.3K

SEC Uncategorized

The Investment Adviser Advertising Rule

Laura Anthony, Esq.

December 27, 2017

On September 14, 2017, the SEC Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert identifying the most f...

639

SEC SEC Advisory Committee Smaller Reporting Company

SEC Advisory Committee On Small And Emerging Companies Holds Final Meeting

Laura Anthony, Esq.

December 19, 2017 December 19, 2017

On September 13, 2017, the SEC Advisory Committee on Small and Emerging Companies (the “Advisory Committee”) held its final meeting...

484

SEC

SEC Publishes Report on Access to Capital and Market Liquidity

Laura Anthony, Esq.

December 12, 2017 December 13, 2017

On August 8, 2017 the SEC Division of Economic and Risk Analysis (DERA) published a 315-page report describing trends in primary sec...

1.3K

FINRA OTC Market OTC Markets Listing Requirements OTC Pink OTCQB OTCQX SEC

OTC Markets Group Establishes A Stock Promotion Policy

Laura Anthony, Esq.

December 5, 2017

As OTC Markets Group continues to position itself as a respected venture trading platform, it has adopted a new stock promotion poli...

873