Laura Anthony, Esq.

On March 24, 2021, the SEC adopted interim final amendments to implement the congressionally mandated submission and disclosure requ...

Without fanfare, the issuance of guidance, or any other formal notice, the SEC quietly changed its policy related to the filing of a...

As the compliance date for the new 15c2-11 rules looms near, on August 2, 2021, in a very short statement, the SEC shot down any nea...

I’ve written quite a bit about SPAC’s recently, but the last time I wrote about SPAC Nasdaq listing requirements, or any attempted c...

In December 2020, the SEC issued a statement and request for comment regarding the custody of digital asset securities by broker-dea...

The first version of the SEC’s semiannual regulatory agenda and plans for rulemaking under the current administration has been publi...

In January, NYSE Regulation sent out its yearly Compliance Guidance Memo to NYSE American listed companies.  Although we are already...

Nasdaq has long been a proponent of environmental, social and governance (ESG) disclosures and initiatives, having published a guide...

As required by the Dodd-Frank Act, in December 2020, the SEC adopted final rules requiring require resource extraction companies to...

The ESG debate continues, including within the SEC and amongst other regulators and industry participants.  Firmly in support of ESG...