Insider TradingSEC GuidanceSecurities Attorneys 10b5-1 Trading Plans and Material Non-Public Information Laura Anthony, Esq.November 23, 2009 As a safe harbor from insider trading liability, Rule 10b5-1 provides that a purchase or sale of securities will not be deemed to be... 072100
Securities Attorneys A Comprehensive Analysis of Section 5 Laura Anthony, Esq.December 29, 2009 Section 5 of the Securities Act of 1933, as amended, contains the basic registration requirements for all offerings and rules of sec... 020000
CrowdfundingJOBS ACTJOBS ACT and CrowdfundingRule 144ARule 506Securities AttorneysUncategorized American Bar Association Comments On Title II Of The JOBS Act Laura Anthony, Esq.June 11, 2012 Summary of Title II Title II of the JOBS Act provides that, within 90 days of the passage of the JOBS Act (i.e. July 5, 2012), the... 022100
Section 4(2)Securities AttorneysUncategorized An In-Depth Review of Private Placements Under Section 4(2) Laura Anthony, Esq.January 25, 2010 Section 4(2) of the Securities Act of 1933 provides that the registration requirements of Section 5 do not apply to “transactions by... 024600
Uncategorized An Introduction to Promissory Notes Laura Anthony, Esq.August 4, 2011 A promissory note is a written promise by a person, persons or entity to pay a specific amount of money (called "principal") to anot... 01.9K00
PCAOB AuditingSarbanes-Oxley Act of 2002SEC GuidanceUncategorized Analysis of Section 404(b) of the Sarbanes-Oxley Act of 2002 for Non-Accelerated Filers Laura Anthony, Esq.October 15, 2009 Corporate compliance, federal securities regulations and SEC reporting requirements are highly technical and always changing. Accord... 034300
IPOReverse MergersUncategorized Back To Basics – IPO Or Not To IPO? Laura Anthony, Esq.February 23, 2011 Initial Public Offerings (IPO’s) are on the rise once again. I have potential clients calling me daily interested in going public t... 026300
Private PlacementRegulation DReverse MergersSection 4(2) Basic Refresher On The Private Placement Exemption Laura Anthony, Esq.February 14, 2011 Section 4(2) of the Securities Act of 1933, as Amended (“Securities Act”) provides the statutory basis for private placement offerin... 022600
CrowdfundingJOBS ACTJOBS ACT and CrowdfundingRegulation DReverse MergersSecurities AttorneysUncategorized Big Changes Are Coming Laura Anthony, Esq.April 16, 2012 I’ve been practicing securities law for 19 years this year (phew!) and for the first time in my career I am excited about changes, b... 031200
CrowdfundingFINRAJOBS ACTJOBS ACT and CrowdfundingRegulation DSEC GuidanceSecurities AttorneysUncategorized CFIRA Submits Crowdfunding Letter to SEC Laura Anthony, Esq.May 24, 2012 The CFIRA (Crowdfund Intermediaries Regulatory Advocates) was established by crowdfunding industry professionals for the purpose of... 024200