SEC GuidanceSecurities Attorneys Transparency in the Financial Markets and the Materiality Standards Laura Anthony, Esq.November 27, 2009 The disclosure requirements at the heart of the federal securities laws involve a delicate and complex balancing act. Too little in... 021900
Corporate LawUncategorized The Federalism of State Corporate Law Laura Anthony, Esq.October 29, 2009 Historically the regulation of corporate law has been firmly within the power and authority of the states. However, over the past f... 028400
Private Investment in Public Equity (PIPE)Securities AttorneysUncategorized The Demise of the Death Spiral – SEC Interpretation of Rule 415 Laura Anthony, Esq.October 22, 2009 Without fanfare, publications, or other notice, in mid 2006, PIPE investors and the Issuers that utilized them noticed a big differe... 028200
OTCBBOTCQB and OTCQXPinksheetsSEC GuidanceSection 3(a)(10) The Securities & Exchange Commission (SEC) Provides Guidance Regarding Section 3(a)(10) of the Securities Act of 1933 Laura Anthony, Esq.October 21, 2009 Section 3(a)(10) of the Securities Act of 1933, as amended (“Securities Act”) is an exemption from the Securities Act registration r... 027100