Laura Anthony, Esq.

On April 12, 2021, the SEC effectively chilled SPAC activity by announcing that it had examined warrant accounting in several SPACs ...

On June 1, 2021, SEC Chair Gary Gensler and the SEC Division of Corporation Finance issued statements making it clear that the SEC w...

Small public companies are in trouble and they need help now!  Once in a while there is a perfect storm forming that can only result...

On April 16, 2021, the SEC voted to reopen the comment period on the proposed rules for the use of Universal proxy cards in all non-...

On May 6, 2021, new SEC Chair Gary Gensler made his debut, giving testimony to the House Financial Services Committee.  Although Mr....

The SEC’s latest version of its semiannual regulatory agenda and plans for rulemaking has been published in the federal register.  T...

The Office of the Advocate for Small Business Capital Formation (“Office”) issued its 2020 Annual Report and it breaks down one of t...

Although overshadowed by all things ESG and SPAC related, a new Wall Street backed national exchange, the Members Exchange (MEMX), l...

In a series of blogs, that is likely to be an ongoing topic for the foreseeable future, I have been discussing the barrage of enviro...

Unlike a Securities Act of 1933 (“Securities Act”) registration statement, a Securities Exchange Act of 1934 (“Exchange Act”) Sectio...