SEC SEC Spring 2018 Regulatory Agenda Laura Anthony, Esq.June 26, 2018 On May 9, 2018, the SEC posted its latest version of its semiannual regulatory agenda and plans for rulemaking with the U.S. Office... 032000
Regulation S-KRegulation S-XSECThe FAST Act SEC Issues Report On Regulation S-K Laura Anthony, Esq.January 3, 2017 As required by Section 72003 of the Fixing America’s Surface Transportation Act (the “FAST Act”), on November 23, 2016, the SEC issu... 031900
Pay Ratio Disclosure RulesSECSecurities AttorneySecurities AttorneysUncategorized SEC Has Adopted Final Pay Ratio Disclosure Rules Laura Anthony, Esq.September 8, 2015 030200
SEC SEC Cautionary Statement on Audits of Public Companies Operating in China Laura Anthony, Esq.February 12, 2019 Eight years following the crash of the Chinese reverse merger boom and a slew of SEC enforcement proceedings, the SEC is once again... 029400
Private OfferingsSECSEC GuidanceSection 4(a)(6)Uncategorized SEC Advisory Committee On Small And Emerging Companies Reviews Capital Formation Laura Anthony, Esq.March 22, 2016 029300
15c2-11 ApplicationFINRAOTC MarketS-1 Registration StatementSEC Rule 15c2-11Securities Attorneys SEC Suspends Trading On 61 Shell Companies Laura Anthony, Esq.June 3, 2013 029300
Intrastate CrowdfundingIntrastate OfferingRule 147Rule 504SECSection 3(a)(11)Uncategorized SEC Proposes Amendments Related To Intrastate And Regional Securities Offerings- Part 1 Laura Anthony, Esq.November 17, 2015 029000
SEC SEC Adopts Amendments to Simplify Disclosure Requirements Laura Anthony, Esq.October 16, 2018 November 4, 2018 In August the SEC voted to adopt amendments to certain disclosure requirements in Regulations S-K and S-X (the “S-K and S-X Amendmen... 028700
Broker Dealer Registration RequirementsBroker-DealerFINRASECSmall Cap MarketUncategorized SEC Proposes Broadening Of Broker-Dealer Registration Rules To Include Proprietary And High-Frequency Traders Laura Anthony, Esq.May 12, 2015 028000
Depository Trust Company (DTC)SEC SEC Proposes Shortening Trade Settlement Laura Anthony, Esq.December 27, 2016 On September 28, 2016, the SEC proposed a rule amendment to shorten the standard broker-initiated trade settlement cycle from three... 028000