SEC SEC Monitors Impact of Hurricanes On Capital Markets Laura Anthony, Esq.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.... 032600 Continue reading
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... 024600 Continue reading
OTC MarketOTC Markets Listing RequirementsOTC PinkOTCQBOTCQB Listing RequirementsSEC 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... 02.4K00 Continue reading
15c2-11 ApplicationFINRAFINRA ComplianceFINRA RulesOTCBBSEC 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... 057900 Continue reading
FINRAFINRA ComplianceFINRA 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... 01.1K00 Continue reading
BlockchainBlockchain TechnologyDistributed Ledger TechnologyInitial Coin OfferingsInitial 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... 044400 Continue reading
Broker-DealerFINRAFINRA ComplianceFINRA RulesSEC 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... 057900 Continue reading
Depository Trust Company (DTC)Dodd-Frank ActFINRASarbanes-Oxley Act of 2002SECSEC 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... 050000 Continue reading
Regulation A+SECSmaller Reporting CompanyTest The WatersThe 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... 00.9K00 Continue reading
IPOSEC 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... 050800 Continue reading