Blockchain TechnologyCybersecurityCybersecurity DisclosuresDistributed Ledger TechnologyDLTSECSEC Guidance SEC Strategic Plan Laura Anthony, Esq.September 18, 2018 On June 19, 2018, the SEC published a draft Strategic Plan and requested public comment on the Plan. The Strategic Plan would guide... 051600
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... 02.3K00
NASDAQOTC MarketOTC Markets Listing RequirementsOTCQXOTCQX Listing RequirementsRegulation DRegulation FDRule 144SEC Changes In India’s Laws Related To Foreign Direct Investments- A U.S. Opportunity; Brief Overview For Foreign Private Issuers Laura Anthony, Esq.November 8, 2016 November 11, 2016 Make Laura Anthony’s Blog Site #1 Click Icon Below and Vote NOW In June 2016, the Indian government announced new rules allowing for... 050300
Finder's FeesFINRAFINRA ComplianceSECSEC GuidanceSecurities AttorneyUncategorized SEC Advisory Committee Recommendations Related To Finders Laura Anthony, Esq.November 24, 2015 036900
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 046600
Accredited InvestorsSEC GuidanceUncategorized SEC Advisory Committee On Small And Emerging Companies’ Recommendations On Accredited Investor Definition Laura Anthony, Esq.March 17, 2015 044300
GAAPSEC GuidanceSmall Cap MarketUncategorized SEC Rules – The Commission Publishes List of New Regulations for Review Laura Anthony, Esq.January 13, 2015 042200