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Securities Law Blog
Use the search or alphabetical categories to locate information on any and all schedules, rules, legislation or updates to corporate and securities laws. Laura Anthony, Esq. has been publishing weekly articles for the past 600 weeks. If you need assistance or have questions, please reach out to Laura Anthony, Esquire, Founding Partner of Anthony, Linder & Cacomanolis, PLLC using any of the contact forms on this site or visit the firm website for further information.
RECENT POSTS
Rule 144 – A Deep Dive – Part 2 – Definitions
Last week I published a high-level review of Rule 144 – see HERE. This week, I will begin the deep dive discussion of the numerous intricacies of this very important rule, starting with definitions.
Rule 144 – A Deep Dive – Part 1
It has been ten years since I summarized Rule 144 (see HERE), and at that time it was a very high level overview, not a deep dive into the numerous intricacies of the rules application. Rule 144 is likely the most oft used rule by founders, private investors, early investors, affiliates and insiders, and merger/reverse merger participants, and as such deserves some focus.
SEC Publishes CD&I On Legal Proceeding Disclosures
On June 20, 2025, the SEC revised two, and withdrew one, CD&I related to disclosures on legal proceedings.
SEC Publishes New CD&I On Schedule 13D-G
In October 2023, the SEC adopted final amendments to Sections 13(d) and 13(g) of the Exchange Act. To review the final amendments see HERE and HERE. In March 2025, the SEC published a few CD&I’s related to the new amendments (see HERE).
SEC Publishes New CD&I On Compensation Clawbacks And De-SPAC C-Registrants
On April 11, 2025, the SEC published several updates to its compliance and disclosure interpretations (“CD&I”) related to compensation clawbacks and co-registrants in de-SPAC transactions.
Market Wrap-Up Q2 2025
This edition of my market recap covers the second quarter of 2025. For a review of November and December 2024 see HERE; for October 2024 see HERE; and for Q1 2025 see HERE.
Thirty-three small cap ($30,000,000 and under) IPOs priced in the second quarter of 2025 (20 in April, 5 in May and 8 in June) – a downtrend from Q1 2025. Below is a chart of relevant deal information for the second quarter IPOs.
SEC Officials Talk Tokenization
On Mary 12, 2025, SEC Chair Paul S. Atkins and Commissioner Mark T. Uyeda gave speeches at the crypto task force roundtable on tokenization.
NYSE Amends Listing Standards For Foreign Private Issuers And Listing Fees For All Issuers
In April the NYSE amended its listing fees for all issuers and in May 2025, amended the standards for foreign private issuers to meet the exchange’s minimum stockholder distribution requirements. The new rules were enacted a few weeks before the SEC published a concept release and request for comment related to foreign private issuers in general (which will be the subject of an upcoming blog).
Delaware Reworks General Corporation Law
Market Wrap-Up – First Quarter 2025
Crypto Industry Gets A Second Chance
Widespread “Dealer” Litigation Is Almost Over!
SEC Chair Uyeda Talks SEC Priorities
Market Makers Rely on Due Diligence in Reverse Mergers
OTCBB Reporting Requirements Enable Successful Reverse Mergers
Examination of Rule 144 and Potential Interpretations
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