September 19, 2017

As I wrote this blog I continued to have no power at my home after one week, though thankfully it has returned by publication date....

397

SEC

SEC Announces Regulatory Agenda

Laura Anthony, Esq.

September 12, 2017

In July 2017 the SEC posted its latest version of its semi-annual regulatory agenda and plans for rulemaking with the U.S. Office of...

318

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

OTCQB Sets New Requirements For Change Of Control Events

Laura Anthony, Esq.

September 5, 2017 September 5, 2017

On June 30, 2017, the OTC Markets Group published amendments to the OTCQB standards related to the processing and reporting of chang...

2.6K

15c2-11 Application FINRA FINRA Compliance FINRA Rules OTCBB SEC

FINRA Proposes Expansion Of The OTCBB

Laura Anthony, Esq.

August 29, 2017

In August 2016, FINRA quietly requested comment on a proposal to expand the now largely dormant OTC Bulletin Board quotation service...

671

FINRA FINRA Compliance FINRA Rules

FINRA Issues New Guidance On Communications With The Public, Including Social Media

Laura Anthony, Esq.

August 22, 2017

In April 2017 FINRA issued Regulatory Notice 17-18 providing additional guidance on the use of social media and digital communicatio...

1.3K

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

SEC Issues Report on Initial Coin Offerings (ICO’s)

Laura Anthony, Esq.

August 15, 2017

On July 25, 2017, the SEC issued a report on an investigation related to an initial coin offering (ICO) by the DAO and statements by...

531

Broker-Dealer FINRA FINRA Compliance FINRA Rules SEC

An Introduction To Distributed Ledger Technology (Blockchain Technology)

Laura Anthony, Esq.

August 8, 2017

On July 13, 2017, FINRA held a Blockchain Symposium to assess the use of distributed ledger technology (DLT) in the financial indust...

672

Depository Trust Company (DTC)Dodd-Frank Act FINRA Sarbanes-Oxley Act of 2002 SEC SEC Guidance

SEC Chair Jay Clayton Discusses Direction Of SEC

Laura Anthony, Esq.

August 1, 2017

In a much talked about speech to the Economic Club of New York on July 12, 2017, SEC Chairman Jay Clayton set forth his thoughts on...

579

Regulation A+SEC Smaller Reporting Company Test The Waters The FAST Act

SEC Expands Ability To File Confidential Registration Statements

Laura Anthony, Esq.

July 25, 2017

On June 19, 2017, the SEC announced that the Division of Corporation Finance will permit all companies to submit draft registration...

IPO SEC

SEC Commissioner Piwowar Speaks On The IPO Market

Laura Anthony, Esq.

July 18, 2017 July 18, 2017

On May 16, 2017, SEC Commissioner Michael Piwowar gave the opening remarks to the SEC-NYU Dialogue on Securities Market Regul...

584