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Home Posts Tagged "Dodd-Frank Act"

Tag: Dodd-Frank Act

14 Posts

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ALL A B C D E F G H I J K L M N O P Q R S T U V W X Y Z

SEC Publishes Report on Access to Capital and Market Liquidity

Laura Anthony, Esq.

December 12, 2017 December 13, 2017

On August 8, 2017 the SEC Division of Economic and Risk Analysis (DERA) published a 315-page report describing trends in primary sec...

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Dodd-Frank Act SEC SEC Guidance SEC Penalties Act

The Acting SEC Chair Has Trimmed Enforcement’s Subpoena Power

Laura Anthony, Esq.

April 4, 2017

In early February 2017, acting SEC Chair Michael Piwowar revoked the subpoena authority from approximately 20 senior SEC enforcement...

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Dodd-Frank Act FINRA Rule 144 SEC Securities Attorney Securities Attorneys The FAST Act Uncategorized

House Passes More Securities Legislation

Laura Anthony, Esq.

March 15, 2016

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Dodd-Frank Act JOBS ACT Regulation S-K SEC SEC Guidance The FAST Act Uncategorized

SEC Gives Insight On 2016 Initiatives

Laura Anthony, Esq.

March 8, 2016

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Dodd-Frank Act JOBS ACT SEC Securities Attorneys Small Cap Market Uncategorized

SEC Congressional Testimony- Part I

Laura Anthony, Esq.

April 14, 2015

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SEC Cracks Down On Confidentiality Agreements As Violating Whistleblower Rights And Protections

Laura Anthony, Esq.

April 7, 2015

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Dodd-Frank Act Form 8-K JOBS ACT Proxy Statement SEC Schedule 14A Small Cap Market Smaller Reporting Company Uncategorized

Say-On-Pay for Smaller Reporting Companies

Laura Anthony, Esq.

May 6, 2014

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Dodd-Frank Act JOBS ACT JOBS ACT and Crowdfunding Regulation D Regulation S Securities Attorneys

An Overview of Exemptions for Hedge Fund Advisors: Exemptions for Advisors to Venture Capital Funds, Private Fund Advisors with Less Than $150 Million in Assets Under Management, and Foreign Private Advisors – Part IV

Laura Anthony, Esq.

September 17, 2013

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Broker Dealer Registration Requirements Broker-Dealer Dodd-Frank Act FINRA JOBS ACT JOBS ACT and Crowdfunding Regulation D Rule 144A Rule 506 SEC Guidance Securities Attorneys

Will FINRA Rule Changes Related to Private Placement Further Deter Broker Dealers From Placing the Securities of Small Businesses?

Laura Anthony, Esq.

September 3, 2013

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Dodd-Frank Act JOBS ACT Rule 506 Securities Attorneys

An Overview of Exemptions for Hedge Fund Advisors: Exemptions for Advisors to Venture Capital Funds, Private Fund Advisers with Less Than $150 Million in Assets Under Management, and Foreign Private Advisers – Part III

Laura Anthony, Esq.

August 7, 2013

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