July 11, 2017

On June 8, 2017, the SEC Chief Accountant, Wesley R. Bricker, gave a speech before the 36th Annual SEC and Financial Reporting Insti...

551

Broker Dealer Registration Requirements Broker-Dealer Emerging Growth Company (EGC)Finder's Fees FINRA FINRA Compliance FINRA Rules Form 1-A M&A Brokers Smaller Reporting Company

The Payment Of Finders’ Fees- An Ongoing Discussion

Laura Anthony, Esq.

July 5, 2017

Introduction As a recurring topic, I discuss exemptions to the broker-dealer registration requirements for entities and individuals...

2.3K

OTC Market OTC Markets Listing Requirements OTC Pink OTC Pink Listing Requirements OTCBB OTCQB OTCQB and OTCQX OTCQB Listing Requirements OTCQX OTCQX Listing Requirements

OTC Markets Amends Listing Standards For OTCQB To Allow Non-Reporting Issuers

Laura Anthony, Esq.

June 27, 2017 June 27, 2017

Effective May 18, 2017, the OTC Markets has amended its qualification rules for the OTCQB to allow quotation by companies that follo...

615

Regulation A Regulation A+SEC

SEC Issues Additional Guidance on Regulation A+

Laura Anthony, Esq.

June 20, 2017 June 26, 2017

On March 31, 2017, the SEC Division of Corporation Finance issued six new Compliance and Disclosure Interpretations (C&DI) to pr...

790

Dodd-Frank Act Emerging Growth Company (EGC)SEC Smaller Reporting Company The Financial Choice Act 2.0

Financial Choice Act 2.0 Has Made Progress

Laura Anthony, Esq.

June 13, 2017 June 13, 2017

On June 8, 2017, the U.S. House of Representative passed the Financial Creating Hope and Opportunity for Investors, Consumers and En...

452

FINRA FINRA Compliance FINRA Rules FINRA360

FINRA Proposes Amendments To The Corporate Financing Rules

Laura Anthony, Esq.

June 6, 2017 June 6, 2017

On April 11, 2017, the Financial Industry Regulatory Authority (FINRA) released three regulatory notices requesting comment on rules...

442

FINRA FINRA Compliance SEC

FINRA Proposes New Registration And Examination Rules

Laura Anthony, Esq.

May 30, 2017 July 13, 2017

On March 8, 2017, the Financial Industry Regulatory Authority (FINRA) filed a proposed rule change with the SEC to adopt amended reg...

784

FINRA NASAA OTC Market Rule 144 Rule 147 Rule 147A Rule 504 Rule 506 SEC SEC Advisory Committee Small Business Capital Formation

Recommendations Of SEC Government-Business Forum On Small Business Capital Formation

Laura Anthony, Esq.

May 23, 2017

In early April, the SEC Office of Small Business Policy published the 2016 Final Report on the SEC Government-Business Forum on Smal...

649

Emerging Growth Company (EGC)Going Public IPO Regulation A Regulation FD Road Shows Rule 163

Road Shows

Laura Anthony, Esq.

May 16, 2017 May 16, 2017

Introduction; Definitions We often hear the words “road show” associated with a securities offering. A road show is simply a series...

1.2K

Crowdfunding SEC

The SEC Has Issued A Whitepaper On Title III Crowdfunding

Laura Anthony, Esq.

May 9, 2017 May 9, 2017

On February 28, 2017, the SEC released a white paper on Regulation Crowdfunding, which law went into effect on May 16, 2016. Regulat...

465