December 13, 2016 December 13, 2016

ABA Journal’s 10th Annual Blawg 100 —————————————̵...

3.3K

Yahoo Hacking Scandal And Obligations Related To Cybersecurity

December 6, 2016 December 6, 2016

On September 26, 2016, Senator Mark R. Warner (D-VA), a member of the Senate Intelligence and Banking Committees and cofounder of th...

499

Crowdfunding Intrastate Crowdfunding Intrastate Offering Regulation D Rule 147 Rule 504 SEC Section 3(a)(11)

SEC Modernizes Intrastate Crowdfunding; Amending Rules 147 And 504; Creating New Rule 147A

Laura Anthony, Esq.

November 29, 2016

On October 26, 2016, the SEC passed new rules to modernize intrastate and regional securities offerings. The final new rules amend R...

CAB FINRA SEC

SEC Has Approved FINRA’s New Category Of Broker-Dealer For “Capital Acquisition Brokers”

Laura Anthony, Esq.

November 22, 2016

On August 18, 2016, the SEC approved FINRA’s rules implementing a new category of broker-dealer called “Capital Acquisition Brokers”...

496

Private Offerings Private Placement SEC

House Passes Accelerated Access To Capital Act

Laura Anthony, Esq.

November 15, 2016 November 15, 2016

On September 8, 2016, the U.S. House of Representatives passed the Accelerating Access to Capital Act. The passage of this Act conti...

512

NASDAQ OTC Market OTC Markets Listing Requirements OTCQX OTCQX Listing Requirements Regulation D Regulation FD Rule 144 SEC

Changes In India’s Laws Related To Foreign Direct Investments- A U.S. Opportunity; Brief Overview For Foreign Private Issuers

Laura Anthony, Esq.

November 8, 2016 November 11, 2016

Make Laura Anthony’s Blog Site #1 Click Icon Below and Vote NOW In June 2016, the Indian government announced new rules allowing for...

648

C&DI Regulation A Regulation A+Rule 144 Rule 701 SEC Section 5

SEC Issues New C&DI On Rule 701

Laura Anthony, Esq.

November 1, 2016

On June 23, 2016, the SEC issued seven new Compliance and Disclosure Interpretations (“C&DI”) related to Rule 701 of the Securit...

1.3K

Blue Sky Laws Broker Dealer Registration Requirements Broker-Dealer Florida Corporate Statutes Mergers And Acquisitions OTC Market OTC Pink OTCQB OTCQX SEC Uncategorized

Florida Broker-Dealer Registration Exemption For M&A Brokers

Laura Anthony, Esq.

October 25, 2016 October 25, 2016

Following the SEC’s lead, effective July 1, 2016, Florida has passed a statutory exemption from the broker-dealer registration requi...

2.4K

SEC Securities Attorney Securities Attorneys

SEC Announces Enforcement Results For Fiscal Year-End 2016

Laura Anthony, Esq.

October 18, 2016 October 18, 2016

On October 11, 2016, the SEC announced its enforcement results for fiscal year-end September 30, 2016 (FYE 2016). In FYE 2016 the S...

477

14c Information Statement NASDAQ Proxy Statement SEC

NASDAQ Requires Disclosure Of Third-Party Director Compensation

Laura Anthony, Esq.

October 11, 2016 October 11, 2016

On July 1, 2016, the SEC approved NASDAQ’s new rule requiring listed companies to publicly disclose compensation or other payments b...

542