Broker Dealer Registration RequirementsBroker-DealerEmerging Growth Company (EGC)Finder's FeesFINRAFINRA ComplianceFINRA RulesForm 1-AM&A BrokersSmaller Reporting Company The Payment Of Finders’ Fees- An Ongoing Discussion Laura Anthony, Esq.July 5, 2017 Introduction As a recurring topic, I discuss exemptions to the broker-dealer registration requirements for entities and individuals... 01.7K00
Accredited InvestorsSECSEC Advisory CommitteeSEC Guidance SEC Advisory Committee On Small And Emerging Companies Issues Further Recommendations On Accredited Investor Definition Laura Anthony, Esq.August 2, 2016 September 6, 2016 026500
Private OfferingsSECSEC GuidanceSection 4(a)(6)Uncategorized SEC Advisory Committee On Small And Emerging Companies Reviews Capital Formation Laura Anthony, Esq.March 22, 2016 028500
Dodd-Frank ActJOBS ACTRegulation S-KSECSEC GuidanceThe FAST ActUncategorized SEC Gives Insight On 2016 Initiatives Laura Anthony, Esq.March 8, 2016 026800
Regulation S-KRegulation S-XSECSEC GuidanceSmaller Reporting CompanyThe FAST ActUncategorized SEC’s Financial Disclosure Requirements For Sub-Entities Of Registered Companies Laura Anthony, Esq.February 16, 2016 As required by the JOBS Act, in 2013 the SEC launched its Disclosure Effectiveness Initiative and has been examining disclosure requ... 037000
Accredited InvestorsRegulation DRegulation D OfferingsRule 505Rule 506SECSEC Advisory CommitteeUncategorized SEC Issues Report On Accredited Investor Definition Laura Anthony, Esq.January 12, 2016 037600
Finder's FeesFINRAFINRA ComplianceSECSEC GuidanceSecurities AttorneyUncategorized SEC Advisory Committee Recommendations Related To Finders Laura Anthony, Esq.November 24, 2015 025500
CrowdfundingIntrastate CrowdfundingIntrastate OfferingJOBS ACTJOBS ACT and CrowdfundingRule 147SECSEC Advisory CommitteeSecurities AttorneyUncategorized SEC Advisory Committee On Small And Emerging Companies Recommends Modernizing Rule 147 for Intrastate Crowdfunding Offerings Laura Anthony, Esq.October 13, 2015 036600
SECSmall Cap MarketUncategorized SEC Congressional Testimony – Part 3 Laura Anthony, Esq.May 26, 2015 023100
IPONASAASmall Cap MarketUncategorized SEC Advisory Committee On Small And Emerging Companies Explores Venture Exchanges, Private And Secondary Securities Trading and The NASAA Coordinated Review Program- Part I Laura Anthony, Esq.May 5, 2015 025300