Laura Anthony, Esq.

One of the bankers that I work with often once asked me if I had written a blog with a side-by-side comparison of listing on Nasdaq ...

After a few years of relative dormancy, the SEC is once again targeting the flourishing cryptocurrency market.  On August 3, 2021, S...

The Office of the Advocate for Small Business Capital Formation (“Office”) has delivered a report to Congress following the 40th ann...

In September 2021, the OTCQB and OTCQX tiers of OTC Markets instituted amendments to their rules, to, among other things, align with...

Ahead of the imminent publication of updated climate disclosure rules, the SEC has published a sample comment letter providing compa...

As the strongest U.S. IPO market in decades continues unabated, it seems a good time to talk about underwriter’s compensation.  FINR...

On September 14, 2021, SEC Chairman Gary Gensler gave testimony to the U.S. Senate Committee on Banking, Housing and Urban Affairs h...

I often get calls from clients or potential clients that have engaged in exempt offerings, have not filed a Form D and are wondering...

Clearly not completely pleased with the power bestowed on OTC Markets as part of the amended Rule 15c2-11, on June 9, 2021, FINRA fi...

On August 6, 2021, the SEC approved Nasdaq’s board diversity listing standards proposal.  Not surprisingly, the approval vote was di...