SEC 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... 076900
Dodd-Frank ActForm 8-KJOBS ACTProxy StatementSEC Schedule 14ASmall Cap MarketSmaller Reporting CompanyUncategorized Say-On-Pay for Smaller Reporting Companies Laura Anthony, Esq.May 6, 2014 039300
Dodd-Frank ActFINRAIPOJOBS ACTJOBS ACT and CrowdfundingPCAOB AuditingRegulation S-K COMPREHENSIVE REVIEW OF TITLE I OF THE JOBS ACT AS RELATED TO EMERGING GROWTH COMPANIES Laura Anthony, Esq.November 14, 2012 On April 5, 2012, President Obama signed the Jumpstart our Business Startups Act (JOBS Act) into law. The JOBS Act was passed on a... 034000
Dodd-Frank ActFINRARule 144SECSecurities AttorneySecurities AttorneysThe FAST ActUncategorized House Passes More Securities Legislation Laura Anthony, Esq.March 15, 2016 033200
Dodd-Frank ActJOBS ACTRule 506Securities 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 029400
Broker-DealerDodd-Frank ActJOBS ACTJOBS ACT and CrowdfundingRule 144ARule 506S-1 Registration StatementSecurities Attorneys An Overview of Exemptions for Hedge Fund Advisers: Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers with Less Than $150 Million in Assets Under Management, and Foreign Private Advisers – Part I Laura Anthony, Esq.May 16, 2013 026800
Dodd-Frank ActSECSEC GuidanceSEC 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... 026500
Dodd-Frank ActJOBS ACTRegulation S-KSECSEC GuidanceThe FAST ActUncategorized SEC Gives Insight On 2016 Initiatives Laura Anthony, Esq.March 8, 2016 025900
Dodd-Frank ActJOBS ACTSECSecurities AttorneysSmall Cap MarketUncategorized SEC Congressional Testimony- Part I Laura Anthony, Esq.April 14, 2015 024700
Broker Dealer Registration RequirementsBroker-DealerDodd-Frank ActFINRAJOBS ACTJOBS ACT and CrowdfundingRegulation DRule 144ARule 506SEC GuidanceSecurities 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 022900