Rule 144Rule 144ASection 4(a)(1)Uncategorized The Section 4(a)(1) And 4(a)(1½) Exemption; Recommendations For An Amendment To Rule 144 Related To Shell Companies Laura Anthony, Esq.June 23, 2015 04.3K00
MD&ARegulation S-KRisk FactorsSecurities AttorneysSmall Cap MarketUncategorized ABA Federal Regulation Of Securities Committee Makes Recommendations On Regulation S-K Laura Anthony, Esq.June 1, 2015 034800
SECSmall Cap MarketUncategorized SEC Congressional Testimony – Part 3 Laura Anthony, Esq.May 26, 2015 034300
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 043700
SECSmall Cap MarketUncategorized SEC Congressional Testimony– Part II Laura Anthony, Esq.April 28, 2015 031500
Dodd-Frank ActJOBS ACTSECSecurities AttorneysSmall Cap MarketUncategorized SEC Congressional Testimony- Part I Laura Anthony, Esq.April 14, 2015 035600
Uncategorized SEC Cracks Down On Confidentiality Agreements As Violating Whistleblower Rights And Protections Laura Anthony, Esq.April 7, 2015 024200
FINRAFINRA ComplianceReverse SplitRule 10b-17Rule 6490Uncategorized SEC Supports FINRA’s Rule 6490 Authority Over Corporate Actions Laura Anthony, Esq.March 10, 2015 01.2K00
Proxy StatementSEC Proxy RulesSection 14Shareholder ProposalsUncategorized Shareholder Proposals And Procedural Requirements Laura Anthony, Esq.February 24, 2015 044800
Broker-DealerUncategorized SEC Announces Examination Priorities For 2015; Focus On Transfer Agents, Investment Advisers and Broker Dealers Laura Anthony, Esq.January 20, 2015 034700
