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- Intrastate: Rule 147
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- Rule 5121
- Rule 5635(d)
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- Rule 701
- Rule 701(e)
- Rule 803
- Rule 83
- Rural Business Investment Companies (RBICs)
- S
- S-1 Filings
- S-1 Registration Statement
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- Special Purchase Vehicle
- Special Purpose Vehicles (SPVs)
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- T
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- #
- A
- B
- C
- C&DI
- Capital Acquisition Broker (CAB)
- Capital Markets
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- CEO/CFO Certification Requirements
- CF Disclosure Guidance
- CFTC
- Chief Sustainability Officer
- Chief Sustainability Officer (CSO)
- Clawback Rules
- Committee for Reserves International Reporting Standards (CRIRSCO)
- Compensation Discussion and Analysis (CD&A)
- Concurrent Private and Public Offerings
- Confidential Treatment Request (CTR)
- Conversion Rights
- Convertible Debt
- Convertible Virtual Currency (CVC)
- Coronavirus
- Coronavirus Aid
- Coronavirus Aid Relief and Economic Security Act (CARES Act)
- CorpFin
- Corporate Law
- Countering the Financing of Terrorism (CFT)
- Covid-19
- Covid-19 Disclosures
- Critical Audit Matters (CAMs)
- Crowdfunding
- Crypto Funds
- Cryptocurrencies
- CUSIP Number
- Customer Protection Rule
- Cybersecurity
- D
- DAD/PAL
- DAO Token
- De-SPAC
- Delaware
- Delaware Corporations
- Delaware Courts
- Demo Days
- Depository Trust Company (DTC)
- Derivative Litigation
- DGCL Section 251(h)
- Digital Asset
- Digital Asset Securities
- Direct Listing Auction
- Direct Listing Process
- Direct Listings
- Direct Public Offerings (DPOs)
- Director Liability
- Disclosure Controls and Procedures (DCP)
- Distributed Ledger Technology (DLT)
- Division of Economic Risk Analysis (DERA)
- Dodd-Frank Act
- Drag-along Rights
- DTC Eligibility
- Due Diligence
- E
- EDGAR
- Emerging Growth Companies (EGC)
- Emerging Markets
- Enterprise Risk Management (ERM)
- Environmental Social and Governance (ESG)
- Equity Line Financing
- Equity Market Structure
- ESG Matters
- Ether
- Exchange Act Rule 10c-1
- Exchange Act Rule 12b-2
- Exchange Act Rule 12b-23
- Exchange Act Rule 12g3-2(b)
- Exchange Traded Funds (ETFs)
- Exempt Offerings
- Exhibits
- F
- FAQs
- Financial Accounting Standards Board (FASB)
- Financial Action Task Force (FATF)
- Financial Choice Act
- Financial Crime Enforcement Network (FinCEN)
- Financial Industry Regulatory Authority (FINRA)
- Financial Reporting Manual (FRM)
- Finder’s Fees
- Finders
- Finders California
- Finders New York
- Finders Texas
- FINRA Rule 2210
- FINRA Rule 5250
- FINRA Rule 6432
- Fintech
- FOIA
- Foreign Private Issuers
- Foreign Private Issuers (FPI)
- Forms
- Free Writing Prospectus
- Free Writing Prospectus (FWP)
- Freedom of Information Act (FOIA)
- Functional Token
- Funding Portals
- G
- H
- I
- IDQS
- Incorporation By Reference
- Initial Coin Offerings (ICOs)
- Initial Cryptocurrency Offerings
- Initial Public Offerings (IPOs)
- Inline XBRL Tagging
- Insider Trading
- Institutional a Institutional Accredited Investors (“IAIs”)
- Internal Control Over Financial Reporting (ICFR)
- Internal Controls Over Financial Reporting (ICFR)
- Intrastate: Rule 147
- Intrastate: Rule 147A
- Intrastate: Section 3(a)(11)
- Investment Company Act
- Investment Company Complex (ICC)
- Investor Advisory Committee (IAC)
- IPO Cross
- Issuer Direct Offering (IDO)
- J
- K
- L
- M
- N
- NASAA
- NASDAQ
- NASDAQ
- Nasdaq Board Diversity Rule
- Nasdaq Direct Listings
- Nasdaq ESG Reporting Guide
- Nasdaq Global Market
- Nasdaq IM-5101-1
- Nasdaq Listed Companies
- NASDAQ Listing Requirements
- Nasdaq Rule 5250(c)
- NASDAQ Rule 5250(d)
- Nasdaq Rule 5250(e)
- Nasdaq Rule 5605
- Nasdaq Rule 5605(f)
- Nasdaq Rule 5606(a)
- Nasdaq Rule 5635(d)
- Nasdaq Rule Amendments
- NASDAQ Temporary Rule 5636T
- Nasdaq Updated LAS Form
- National Futures Association (NFA)
- Nevada Corporate Statutes
- Nevada Statutes
- NFTs
- NSMIA
- NYSE
- NYSE American
- NYSE American listing requirements
- NYSE Direct Listings
- NYSE MKT
- NYSE MKT Listing Requirements
- NYSE Section 312.03(c)
- O
- P
- Pay Ratio Disclosure Rules
- Pay Versus Performance
- PCAOB
- PCAOB Auditing
- PCAOB Chairman William D. Duhnke III
- PCAOB Rule 6100
- Penny Stocks
- PIPE Transactions
- Post- Filing Period
- Pre-Effectiveness Period
- Pre-Filing Period
- Pre-IPO Discount
- Preferred Equity
- Primary Direct Floor Listing
- Principal Executive Officer (PEO)
- Private Investment in Public Equity (PIPE)
- Private Offerings
- Private Placement Memorandum
- Private Placements
- Private Securities Litigation Reform Act of 1995 (PSLRA)
- Proposed Rule 10c-1
- Proxy Advisory Firms
- Proxy Disclosure
- Proxy Process
- Proxy Rules
- Proxy Statement
- Proxy Voting
- Public Company Accounting Oversight Board (PCAOB)
- Public Market Listing Standards
- Public Shell Company
- Q
- R
- Registered Debt Offerings
- Registered National Securities Association (RNSA)
- Regulation
- Regulation A
- Regulation A Offerings
- Regulation A+
- Regulation A+ IPO
- Regulation A+ Tier 1
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- Regulation ATS
- Regulation C
- Regulation CF
- Regulation Crowdfunding
- Regulation Crowdfunding; Section 4(a)(6)
- Regulation D
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- Regulation FD
- Regulation G
- Regulation M
- Regulation NMS
- Regulation S
- Regulation S-K
- Regulation S-P
- Regulation S-T
- Regulation S-X
- Regulation SCI
- Regulation SHO
- Regulation T
- Relief
- Reporting Requirements
- Retail Strategy Task Force
- Reverse Mergers
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- Reverse Triangular Merger
- Ripple
- Risk Alert
- Risk Factors
- Road Shows
- Rule
- Rule 10b-17
- Rule 10b-18
- Rule 10b5-1
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- Rule 152
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- Rule 15a-6
- Rule 15a-6(b)(3
- Rule 15C2-11
- Rule 15g-1(b)
- Rule 163
- Rule 17a-7
- Rule 206
- Rule 2241
- Rule 2242
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- Rule 5100
- Rule 5101
- Rule 5110
- Rule 5121
- Rule 5635(d)
- Rule 6490
- Rule 701
- Rule 701(e)
- Rule 803
- Rule 83
- Rural Business Investment Companies (RBICs)
- S
- S-1 Filings
- S-1 Registration Statement
- S-3 Eligibility
- S-3 Registration Statement
- S-3 Shelf Registrations
- Safe Harbors
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- Schedule
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- SEC
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- SEC Comment Letters
- SEC Commissioner Caroline A. Crenshaw
- SEC Commissioner Hester M. Peirce
- SEC Disclosure Effectiveness Initiative
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- SEC Exempt Offerings
- SEC Fall 2020 Regulatory Agenda
- SEC Filings
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- SEC Payment Methods
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- Section
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- Section 10D to the Exchange Act
- Section 11
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- Section 12(g)
- Section 12(g) Registration
- Section 12g
- Section 12g3-2
- Section 13
- Section 13(d)
- Section 13(g)
- Section 13(q)
- Section 14
- Section 15(d)
- Section 16
- Section 17(b)
- Section 18
- Section 2(a)(15)
- section 2(a)(48)
- Section 21F
- Section 27A
- Section 3(a)(10)
- Section 3(a)(11)
- Section 3(a)(2)
- Section 3(a)(39)
- Section 3(a)(5)(A)
- Section 3(a)(9)
- Section 3(c)(1)
- Section 304
- Section 4(2)
- Section 4(a)(1)
- Section 4(a)(2)
- Section 4(a)(4)
- Section 4(a)(5)
- Section 4(a)(6)
- Section 4(a)(7)
- Section 5
- Section 5(d)
- Section 503
- Section 507
- Section 508
- Section 8(a)
- Securities Act
- Securities Act of 1933
- Securities Act Rule 411
- Securities Industry and Financial Markets Association (SIFMA)
- Securities Investor Protection Corporation (SIPC)
- Securities Law
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- Securities Tokens
- Security Token Offering (STO)
- Security-based Swaps
- Self-Regulatory Organizations (SROs)
- Senate
- Share Repurchase Disclosure Rules
- Shareholder Proposals
- Simple Agreement for Future Tokens (SAFT)
- Small Business Administration (SBA)
- Small Business Capital Formation
- Small Business Capital Formation Advisory Committee
- Small Public Company Coalition (SPCC)
- Smaller Reporting Company (SRC)
- Smart Contracts
- SPAC
- Spin-Off
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- Special Purchase Vehicle
- Special Purpose Vehicles (SPVs)
- Super 8-K Requirements
- Suspicious Activity Reports (SAR)
- Suspicious Activity Reports (SARs)
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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

ナスダック、1株あたり0.10ドル銘柄の上場廃止の加速を提案
ナスダックは、同取引所で取引される低価格銘柄の数を減らすための継続的な取り組みの一環として、株価が0.10ドルを下回る銘柄の上場廃止手続きを迅速化することを目的に、最低入札価格規則の改正を提案しました。特に、ナスダックは、株価が10営業日連続で終値ベースで0.10ドル以下となった銘柄(以下「低価格銘柄」)について、企業がその他の入札価格要件を満たしているかどうかにかかわらず、当該銘柄に対して上場廃止通知を発行し、その取引を停止することを規定する規則5810条および5815条の改正を提案しています。

Nasdaq Proposes To Accelerate The Delisting Of $0.10 Stocks
On September 3, 2025, Nasdaq proposed amendments to accelerate the suspension and delisting of a company that falls below any of the numeric listing requirements, including the bid price, market value of public float, equity, income and total assets/revenue requirements, and that has a Market Value of Listed Securities (“MVLS”) below $5 million.

ナスダック、純利益上場基準に基づく流動性要件の引き上げを提案
これは、2025年春期のSEC規制アジェンダ(以下「アジェンダ」)および規則制定の計画に関する内容です。アジェンダは年に2回発行され、私はここ数年、それぞれの発行についてブログで取り上げています。アジェンダに掲載される項目は、カテゴリー間で移動したり、削除されたり、あるいは最終規則策定段階を含むいずれかのカテゴリーに新たに追加されたりする可能性がありますが、SECの計画やパブリックコメントが規則制定プロセスに及ぼす影響についても貴重な洞察を提供します。

Nasdaq Proposes To Increase Liquidity Requirements Under Net Income Listing Standard
On September 3, 2025, Nasdaq proposed amendments to its liquidity listing standards for the Nasdaq Capital Market and Nasdaq Global Market to increase the minimum Market Value of Unrestricted Publicly Held Shares (“MVUPHS”) requirement for those companies listing under the net income standard from $5 million to $15 million. This follows the April rule amendment requiring that MVUPHS can only be satisfied through IPO proceeds and that shares registered for resale may no longer be counted (see HERE). In addition to making it more difficult for small cap companies to complete a Nasdaq IPO, the proposed rule would eliminate the only material distinction and benefit to listing using the net income standard.

SEC Spring 2025 Regulatory Agenda
The SEC has published its semi-annual Spring 2025 regulatory agenda (“Agenda”) and plans for rulemaking. The Agenda is published twice a year, and for several years I have blogged about each publication. Although items on the Agenda can move from one category to the next, be dropped off altogether, or new items pop up in

Rule 144 – A Deep Dive – Part 6 – Manner Of Sale & Form 144 Notice Filings
In this sixth and final installment of my series on Rule 144, I will continue discussing the various conditions for the use of the Rule covering manner of sale requirements and the filing of a Form 144 for affiliates. In the first installment, I provided a high-level review of Rule 144 – see HERE ; in the second, I discussed definitions including the impactful “affiliate” definition – see HERE; in the third I reviewed the current public information requirements – see HERE; in the fourth I covered holding periods – see HERE; and in the fifth I covered limitations on the amount of securities that can be sold – see HERE.

Rule 144 – A Deep Dive – Part 5 – Limitations On Amount Of Securities Sold
In this fifth installment of my series on Rule 144, I will continue discussing the various conditions for the use of the Rule, covering limitations on the amount of securities that may be sold. In the first installment, I provided a high-level review of Rule 144 – see HERE ; in the second, I discussed definitions including the impactful “affiliate” definition – see HERE; in the third I reviewed the current public information requirements – see HERE; and in the fourth I covered holding periods – see HERE.

Rule 144 – A Deep Dive – Part 4 – Holding Period
In this fourth installment of my series on Rule 144, I will continue discussing the various conditions for the use of the Rule, including the meaty holding period requirements. In the first installment, I provided a high-level review of Rule 144 – see HERE; in the second, I discussed definitions including the impactful “affiliate” definition – see HERE; and in the third I reviewed the current public information requirements – see HERE.

Market Wrap-Up Q2 2025

SEC Officials Talk Tokenization


SEC Withdraws 14 Rule Proposals


SEC Statement On Stablecoins

SEC Statement On Proof-Of-Work Mining Activities



Delaware Reworks General Corporation Law
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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- ADS
- ADTV
- ADTV Test
- ADTV Value
- Alternative Trading Systems (ATS)
- Anti-dilution Protection
- Anti-Money Laundering (AML)
- Articles of Incorporation
- Attorney Fee Provisions
- Auditor Independence Rules
- Auditor Matters
- Bad Actor Rules
- Bank Secrecy Act (BSA)
- Bitcoin
- Bitcoin Cash
- Blank Check Companies
- Blockchain Technology
- BlockFi
- Blue Sky Laws
- Board of Directors
- Boston BOX Exchange
- Broker Dealer Registration Requirements
- Broker-Dealer
- BSTX Listing
- C&DI
- Capital Acquisition Broker (CAB)
- Capital Markets
- Caremark
- CEO/CFO Certification Requirements
- CF Disclosure Guidance
- CFTC
- Chief Sustainability Officer
- Chief Sustainability Officer (CSO)
- Clawback Rules
- Committee for Reserves International Reporting Standards (CRIRSCO)
- Compensation Discussion and Analysis (CD&A)
- Concurrent Private and Public Offerings
- Confidential Treatment Request (CTR)
- Conversion Rights
- Convertible Debt
- Convertible Virtual Currency (CVC)
- Coronavirus
- Coronavirus Aid
- Coronavirus Aid Relief and Economic Security Act (CARES Act)
- CorpFin
- Corporate Law
- Countering the Financing of Terrorism (CFT)
- Covid-19
- Covid-19 Disclosures
- Critical Audit Matters (CAMs)
- Crowdfunding
- Crypto Funds
- Cryptocurrencies
- CUSIP Number
- Customer Protection Rule
- Cybersecurity
- Cybersecurity Disclosures
- Cybersecurity Risks
- DAD/PAL
- DAO Token
- De-SPAC
- Delaware
- Delaware Corporations
- Delaware Courts
- Demo Days
- Depository Trust Company (DTC)
- Derivative Litigation
- DGCL Section 251(h)
- Digital Asset
- Digital Asset Securities
- Direct Listing Auction
- Direct Listing Process
- Direct Listings
- Direct Public Offerings (DPOs)
- Director Liability
- Disclosure Controls and Procedures (DCP)
- Distributed Ledger Technology (DLT)
- Division of Economic Risk Analysis (DERA)
- Dodd-Frank Act
- Drag-along Rights
- DTC Eligibility
- Due Diligence
- EDGAR
- Emerging Growth Companies (EGC)
- Emerging Markets
- Enterprise Risk Management (ERM)
- Environmental Social and Governance (ESG)
- Equity Line Financing
- Equity Market Structure
- ESG Matters
- Ether
- Exchange Act Rule 10c-1
- Exchange Act Rule 12b-2
- Exchange Act Rule 12b-23
- Exchange Act Rule 12g3-2(b)
- Exchange Traded Funds (ETFs)
- Exempt Offerings
- Exhibits
- FAQs
- Office of Foreign Assets Control (OFAC)
- Financial Accounting Standards Board (FASB)
- Financial Action Task Force (FATF)
- Financial Choice Act
- Financial Crime Enforcement Network (FinCEN)
- Financial Industry Regulatory Authority (FINRA)
- Financial Reporting Manual (FRM)
- Finder’s Fees
- Finders
- Finders California
- Finders New York
- Finders Texas
- FINRA Rule 2210
- FINRA Rule 5250
- FINRA Rule 6432
- Fintech
- FOIA
- Foreign Private Issuers
- Foreign Private Issuers (FPI)
- Form 1-A
- Form 1-K
- Form 1-SA
- Form 10
- Form 10-K
- Form 10-K/A
- Form 10-Q
- Form 13F Filer
- Form 15
- Form 20-F
- Form 211
- Form 6-K
- Form 8-A
- Form 8-K
- Form C
- Form CRS
- Form D
- Form F-1
- Form F-4
- Form PF
- Form S-1
- Form S-11
- Form S-3
- Form S-4
- Form S-8
- Form SD
- Form SR
- Forward Incorporation By Reference
- Free Writing Prospectus
- Free Writing Prospectus (FWP)
- Freedom of Information Act (FOIA)
- Functional Token
- Funding Portals
- GAAP
- Going Public
- Government Accountability Office (GAO)
- Greenshoe Option
- Guest Authors
- Gun Jumping
- Holding Foreign Companies Accountable Act (HFCA)
- Hostile Takeover
- Howey Test
- IDQS
- Incorporation By Reference
- Initial Coin Offerings (ICOs)
- Initial Cryptocurrency Offerings
- Initial Public Offerings (IPOs)
- Inline XBRL Tagging
- Insider Trading
- Institutional a Institutional Accredited Investors (“IAIs”)
- Internal Control Over Financial Reporting (ICFR)
- Internal Controls Over Financial Reporting (ICFR)
- Intrastate: Rule 147
- Intrastate: Rule 147A
- Intrastate: Section 3(a)(11)
- Investment Company Act
- Investment Company Complex (ICC)
- Investor Advisory Committee (IAC)
- IPO Cross
- Issuer Direct Offering (IDO)
- JOBS Act IPO
- Know Your Customer (KYC)
- Large Accelerated Filer
- LEI Number
- Liquidation Preferences
- Listing Of Additional Shares (LAS)
- Litecoin
- Long-Term Stock Exchange (LTSE)
- M&A Brokers
- Management’s Discussion and Analysis of Financial Condition and Results of Operation (MD&A)
- Materiality
- Members Exchange (MEMX)
- Meme Stocks
- Merger Transaction
- Mergers And Acquisitions
- Money Services Businesses (MSB)
- MUN Token
- Municipal Securities Rulemaking Board (MSRB)
- NASAA
- NASDAQ
- Nasdaq Board Diversity Rule
- Nasdaq Direct Listings
- Nasdaq ESG Reporting Guide
- Nasdaq Global Market
- Nasdaq IM-5101-1
- Nasdaq Listed Companies
- NASDAQ Listing Requirements
- Nasdaq Rule 5250(c)
- NASDAQ Rule 5250(d)
- Nasdaq Rule 5250(e)
- Nasdaq Rule 5605
- Nasdaq Rule 5605(f)
- Nasdaq Rule 5606(a)
- Nasdaq Rule 5635(d)
- Nasdaq Rule Amendments
- NASDAQ Temporary Rule 5636T
- Nasdaq Updated LAS Form
- National Futures Association (NFA)
- Nevada Corporate Statutes
- Nevada Statutes
- NFTs
- NSMIA
- NYSE
- NYSE American
- NYSE American listing requirements
- NYSE Direct Listings
- NYSE MKT
- NYSE MKT Listing Requirements
- NYSE Section 312.03(c)
- Office of Compliance Inspections and Examinations (OCIE)
- Office of Foreign Assets Control (OFAC)
- Office of Terrorism and Financial Intelligence (FTI)
- Oldie Token
- OTC Markets
- OTC Markets Listing Requirements
- OTC PINK
- OTCIQ
- OTCQB
- OTCQX
- Over the Counter Display Facility (ODF)
- Overallotment Option
- Pay Ratio Disclosure Rules
- Pay Versus Performance
- PCAOB
- PCAOB Auditing
- PCAOB Chairman William D. Duhnke III
- PCAOB Rule 6100
- Penny Stocks
- PIPE Transactions
- Post- Filing Period
- Pre-Effectiveness Period
- Pre-Filing Period
- Pre-IPO Discount
- Preferred Equity
- Primary Direct Floor Listing
- Principal Executive Officer (PEO)
- Private Investment in Public Equity (PIPE)
- Private Offerings
- Private Placement Memorandum
- Private Placements
- Private Securities Litigation Reform Act of 1995 (PSLRA)
- Proposed Rule 10c-1
- Proxy Advisory Firms
- Proxy Disclosure
- Proxy Process
- Proxy Rules
- Proxy Statement
- Proxy Voting
- Public Company Accounting Oversight Board (PCAOB)
- Public Market Listing Standards
- Public Shell Company
- Qualified Institutional Buyers (QIBs)
- Registered Debt Offerings
- Registered National Securities Association (RNSA)
- Regulation A
- Regulation A Offerings
- Regulation A+
- Regulation A+ IPO
- Regulation A+ Tier 1
- Regulation A+ Tier 2
- Regulation ATS
- Regulation C
- Regulation CF
- Regulation Crowdfunding
- Regulation Crowdfunding; Section 4(a)(6)
- Regulation D
- Regulation D Offerings
- Regulation FD
- Regulation G
- Regulation M
- Regulation NMS
- Regulation S
- Regulation S-K
- Regulation S-P
- Regulation S-T
- Regulation S-X
- Regulation SCI
- Regulation SHO
- Regulation T
- Relief
- Reporting Requirements
- Retail Strategy Task Force
- Reverse Mergers
- Reverse Split
- Reverse Triangular Merger
- Ripple
- Risk Alert
- Risk Factors
- Road Shows
- Rule 10b-17
- Rule 10b-18
- Rule 10b5-1
- Rule 10b5-2(b)
- Rule 13-01
- Rule 13-02
- Rule 134
- Rule 135
- Rule 144
- Rule 144 Legal Opinions
- Rule 144 Opinion Letters
- Rule 144(d)
- Rule 144(d)(3)(ii)
- Rule 144A
- Rule 145
- Rule 147
- Rule 147A
- Rule 148
- Rule 14a-2(b)
- Rule 14a-8
- Rule 14a-8 No-Action Letter
- Rule 14a-8(b)
- Rule 152
- Rule 156
- Rule 15a-6
- Rule 15a-6(b)(3
- Rule 15C2-11
- Rule 15g-1(b)
- Rule 163
- Rule 17a-7
- Rule 206
- Rule 2241
- Rule 2242
- Rule 241
- Rule 24b-2
- Rule 255
- Rule 2a51-1(b)
- Rule 3-10
- Rule 3-16
- Rule 3a51-1
- Rule 405
- Rule 406
- Rule 415
- Rule 419
- Rule 501
- Rule 501 of Regulation D
- Rule 501(a)
- Rule 503
- Rule 504
- Rule 504 of Regulation D
- Rule 505
- Rule 506
- Rule 506(b) of Regulation D
- Rule 506(c)
- Rule 506(c) of Regulation D
- Rule 5100
- Rule 5101
- Rule 5110
- Rule 5121
- Rule 5635(d)
- Rule 6490
- Rule 701
- Rule 701(e)
- Rule 803
- Rule 83
- Rural Business Investment Companies (RBICs)
- S-1 Filings
- S-1 Registration Statement
- S-3 Eligibility
- S-3 Registration Statement
- S-3 Shelf Registrations
- Safe Harbors
- Sarbanes-Oxley Act of 2002
- Sarbanes-Oxley Act of 2002 (SOX)
- Schedule 13D
- Schedule 13G
- Schedule 14A
- Schedule 14C
- Schedule 15G
- Schedule TO
- SEA Rule 15c2-11
- SEC
- SEC Advisory Committee
- SEC Auditor Independence Rules
- SEC Bulletin
- SEC Chair Allison Herron Lee
- SEC Chair Gary Gensler
- SEC Chairman Jay Clayton
- SEC Chief Accountant Wes Bricker
- SEC Chief Accountant Wes Bricker
- SEC Comment Letters
- SEC Commissioner Caroline A. Crenshaw
- SEC Commissioner Hester M. Peirce
- SEC Disclosure Effectiveness Initiative
- SEC Disclosures
- SEC Division of Corporation Finance
- SEC Division of Enforcement
- SEC Exempt Offerings
- SEC Fall 2020 Regulatory Agenda
- SEC Filings
- SEC Guidance
- SEC Investor Alert
- SEC Office of the Chief Accountant (OCA)
- SEC Payment Methods
- SEC Penalties Act
- SEC Proxy Rules
- SEC Regulatory Agenda
- SEC Reporting Requirements
- SEC Risk Alerts
- SEC Rule 10A-3
- SEC Rule 15c2-11
- SEC Schedule 14A
- SEC Subpoena Power
- Section 10(a)(3)
- Section 10D to the Exchange Act
- Section 11
- Section 12
- Section 12(a)
- Section 12(b)
- Section 12(g)
- Section 12(g) Registration
- Section 12g
- Section 12g3-2
- Section 13
- Section 13(d)
- Section 13(g)
- Section 13(q)
- Section 14
- Section 15(d)
- Section 16
- Section 17(b)
- Section 18
- Section 2(a)(15)
- section 2(a)(48)
- Section 21F
- Section 27A
- Section 3(a)(10)
- Section 3(a)(11)
- Section 3(a)(2)
- Section 3(a)(39)
- Section 3(a)(5)(A)
- Section 3(a)(9)
- Section 3(c)(1)
- Section 304
- Section 4(2)
- Section 4(a)(1)
- Section 4(a)(2)
- Section 4(a)(4)
- Section 4(a)(5)
- Section 4(a)(6)
- Section 4(a)(7)
- Section 5
- Section 5(d)
- Section 503
- Section 507
- Section 508
- Section 8(a)
- Securities Act
- Securities Act of 1933
- Securities Act Rule 411
- Securities Industry and Financial Markets Association (SIFMA)
- Securities Investor Protection Corporation (SIPC)
- Securities Law
- Securities Lending Market
- Securities Tokens
- Security Token Offering (STO)
- Security-based Swaps
- Self-Regulatory Organizations (SROs)
- Senate
- Share Repurchase Disclosure Rules
- Shareholder Proposals
- Simple Agreement for Future Tokens (SAFT)
- Small Business Administration (SBA)
- Small Business Capital Formation
- Small Business Capital Formation Advisory Committee
- Small Public Company Coalition (SPCC)
- Smaller Reporting Company (SRC)
- Smart Contracts
- SPAC IPO Process
- SPAC IPOs
- SPAC Nasdaq Listing Requirements
- SPAC Nasdaq Listing Standards
- SPAC Rules
- SPAC Shareholder Litigation
- SPAC Spin-Offs
- SPAC Trading
- SPAC Warrants
- Special Purchase Vehicle
- Special Purpose Acquisition Companies (SPAC)
- Special Purpose Vehicles (SPVs)
- Spin-Off
- Super 8-K Requirements
- Suspicious Activity Reports (SAR)
- Suspicious Activity Reports (SARs)
- Tag along Rights
- Test The Waters
- The BSTX
- The CARES Act
- The FAST Act
- The Holding Foreign Companies Accountable Act (HFCA)
- The Howey Test
- The JOBS Act
- The Reves Test
- The U.S. Department of the Treasury
- Title III Crowdfunding
- Total Shareholder Return (TSR)
- Transfer Agent Rules
- Transfer Restrictions
- U.S. House of Representatives
- Universal Proxy Cards
- Unregistered Offerings
- Utility Tokens
- Venture Capital
- Virtual Currencies
- Virtual Roadshows
- Voting Rights
- White Paper
- William Hinman
- XBRL
- XRP
- 14c Information Statement
- 15c2-11 Application
- Accelerated Filer
- Accredited Investors
- ADR
- ADS
- ADTV
- ADTV Test
- ADTV Value
- Alternative Trading Systems (ATS)
- Anti-dilution Protection
- Anti-Money Laundering (AML)
- Articles of Incorporation
- Attorney Fee Provisions
- Auditor Independence Rules
- Auditor Matters
- Bad Actor Rules
- Bank Secrecy Act (BSA)
- Bitcoin
- Bitcoin Cash
- Blank Check Companies
- Blockchain Technology
- BlockFi
- Blue Sky Laws
- Board of Directors
- Boston BOX Exchange
- Broker Dealer Registration Requirements
- Broker-Dealer
- BSTX Listing
- C&DI
- Capital Acquisition Broker (CAB)
- Capital Markets
- Caremark
- CEO/CFO Certification Requirements
- CF Disclosure Guidance
- CFTC
- Chief Sustainability Officer
- Chief Sustainability Officer (CSO)
- Clawback Rules
- Committee for Reserves International Reporting Standards (CRIRSCO)
- Compensation Discussion and Analysis (CD&A)
- Concurrent Private and Public Offerings
- Confidential Treatment Request (CTR)
- Conversion Rights
- Convertible Debt
- Convertible Virtual Currency (CVC)
- Coronavirus
- Coronavirus Aid
- Coronavirus Aid Relief and Economic Security Act (CARES Act)
- CorpFin
- Corporate Law
- Countering the Financing of Terrorism (CFT)
- Covid-19
- Covid-19 Disclosures
- Critical Audit Matters (CAMs)
- Crowdfunding
- Crypto Funds
- Cryptocurrencies
- CUSIP Number
- Customer Protection Rule
- Cybersecurity
- Cybersecurity Disclosures
- Cybersecurity Risks
- DAD/PAL
- DAO Token
- De-SPAC
- Delaware
- Delaware Corporations
- Delaware Courts
- Demo Days
- Depository Trust Company (DTC)
- Derivative Litigation
- DGCL Section 251(h)
- Digital Asset
- Digital Asset Securities
- Direct Listing Auction
- Direct Listing Process
- Direct Listings
- Direct Public Offerings (DPOs)
- Director Liability
- Disclosure Controls and Procedures (DCP)
- Distributed Ledger Technology (DLT)
- Division of Economic Risk Analysis (DERA)
- Dodd-Frank Act
- Drag-along Rights
- DTC Eligibility
- Due Diligence
- EDGAR
- Emerging Growth Companies (EGC)
- Emerging Markets
- Enterprise Risk Management (ERM)
- Environmental Social and Governance (ESG)
- Equity Line Financing
- Equity Market Structure
- ESG Matters
- Ether
- Exchange Act Rule 10c-1
- Exchange Act Rule 12b-2
- Exchange Act Rule 12b-23
- Exchange Act Rule 12g3-2(b)
- Exchange Traded Funds (ETFs)
- Exempt Offerings
- Exhibits
- FAQs
- Office of Foreign Assets Control (OFAC)
- Financial Accounting Standards Board (FASB)
- Financial Action Task Force (FATF)
- Financial Choice Act
- Financial Crime Enforcement Network (FinCEN)
- Financial Industry Regulatory Authority (FINRA)
- Financial Reporting Manual (FRM)
- Finder’s Fees
- Finders
- Finders California
- Finders New York
- Finders Texas
- FINRA Rule 2210
- FINRA Rule 5250
- FINRA Rule 6432
- Fintech
- FOIA
- Foreign Private Issuers
- Foreign Private Issuers (FPI)
- Form 1-A
- Form 1-K
- Form 1-SA
- Form 10
- Form 10-K
- Form 10-K/A
- Form 10-Q
- Form 13F Filer
- Form 15
- Form 20-F
- Form 211
- Form 6-K
- Form 8-A
- Form 8-K
- Form C
- Form CRS
- Form D
- Form F-1
- Form F-4
- Form PF
- Form S-1
- Form S-11
- Form S-3
- Form S-4
- Form S-8
- Form SD
- Form SR
- Forward Incorporation By Reference
- Free Writing Prospectus
- Free Writing Prospectus (FWP)
- Freedom of Information Act (FOIA)
- Functional Token
- Funding Portals
- GAAP
- Going Public
- Government Accountability Office (GAO)
- Greenshoe Option
- Guest Authors
- Gun Jumping
- Holding Foreign Companies Accountable Act (HFCA)
- Hostile Takeover
- Howey Test
- IDQS
- Incorporation By Reference
- Initial Coin Offerings (ICOs)
- Initial Cryptocurrency Offerings
- Initial Public Offerings (IPOs)
- Inline XBRL Tagging
- Insider Trading
- Institutional a Institutional Accredited Investors (“IAIs”)
- Internal Control Over Financial Reporting (ICFR)
- Internal Controls Over Financial Reporting (ICFR)
- Intrastate: Rule 147
- Intrastate: Rule 147A
- Intrastate: Section 3(a)(11)
- Investment Company Act
- Investment Company Complex (ICC)
- Investor Advisory Committee (IAC)
- IPO Cross
- Issuer Direct Offering (IDO)
- JOBS Act IPO
- Know Your Customer (KYC)
- Large Accelerated Filer
- LEI Number
- Liquidation Preferences
- Listing Of Additional Shares (LAS)
- Litecoin
- Long-Term Stock Exchange (LTSE)
- M&A Brokers
- Management’s Discussion and Analysis of Financial Condition and Results of Operation (MD&A)
- Materiality
- Members Exchange (MEMX)
- Meme Stocks
- Merger Transaction
- Mergers And Acquisitions
- Money Services Businesses (MSB)
- MUN Token
- Municipal Securities Rulemaking Board (MSRB)
- NASAA
- NASDAQ
- Nasdaq Board Diversity Rule
- Nasdaq Direct Listings
- Nasdaq ESG Reporting Guide
- Nasdaq Global Market
- Nasdaq IM-5101-1
- Nasdaq Listed Companies
- NASDAQ Listing Requirements
- Nasdaq Rule 5250(c)
- NASDAQ Rule 5250(d)
- Nasdaq Rule 5250(e)
- Nasdaq Rule 5605
- Nasdaq Rule 5605(f)
- Nasdaq Rule 5606(a)
- Nasdaq Rule 5635(d)
- Nasdaq Rule Amendments
- NASDAQ Temporary Rule 5636T
- Nasdaq Updated LAS Form
- National Futures Association (NFA)
- Nevada Corporate Statutes
- Nevada Statutes
- NFTs
- NSMIA
- NYSE
- NYSE American
- NYSE American listing requirements
- NYSE Direct Listings
- NYSE MKT
- NYSE MKT Listing Requirements
- NYSE Section 312.03(c)
- Office of Compliance Inspections and Examinations (OCIE)
- Office of Foreign Assets Control (OFAC)
- Office of Terrorism and Financial Intelligence (FTI)
- Oldie Token
- OTC Markets
- OTC Markets Listing Requirements
- OTC PINK
- OTCIQ
- OTCQB
- OTCQX
- Over the Counter Display Facility (ODF)
- Overallotment Option
- Pay Ratio Disclosure Rules
- Pay Versus Performance
- PCAOB
- PCAOB Auditing
- PCAOB Chairman William D. Duhnke III
- PCAOB Rule 6100
- Penny Stocks
- PIPE Transactions
- Post- Filing Period
- Pre-Effectiveness Period
- Pre-Filing Period
- Pre-IPO Discount
- Preferred Equity
- Primary Direct Floor Listing
- Principal Executive Officer (PEO)
- Private Investment in Public Equity (PIPE)
- Private Offerings
- Private Placement Memorandum
- Private Placements
- Private Securities Litigation Reform Act of 1995 (PSLRA)
- Proposed Rule 10c-1
- Proxy Advisory Firms
- Proxy Disclosure
- Proxy Process
- Proxy Rules
- Proxy Statement
- Proxy Voting
- Public Company Accounting Oversight Board (PCAOB)
- Public Market Listing Standards
- Public Shell Company
- Qualified Institutional Buyers (QIBs)
- Registered Debt Offerings
- Registered National Securities Association (RNSA)
- Regulation A
- Regulation A Offerings
- Regulation A+
- Regulation A+ IPO
- Regulation A+ Tier 1
- Regulation A+ Tier 2
- Regulation ATS
- Regulation C
- Regulation CF
- Regulation Crowdfunding
- Regulation Crowdfunding; Section 4(a)(6)
- Regulation D
- Regulation D Offerings
- Regulation FD
- Regulation G
- Regulation M
- Regulation NMS
- Regulation S
- Regulation S-K
- Regulation S-P
- Regulation S-T
- Regulation S-X
- Regulation SCI
- Regulation SHO
- Regulation T
- Relief
- Reporting Requirements
- Retail Strategy Task Force
- Reverse Mergers
- Reverse Split
- Reverse Triangular Merger
- Ripple
- Risk Alert
- Risk Factors
- Road Shows
- Rule 10b-17
- Rule 10b-18
- Rule 10b5-1
- Rule 10b5-2(b)
- Rule 13-01
- Rule 13-02
- Rule 134
- Rule 135
- Rule 144
- Rule 144 Legal Opinions
- Rule 144 Opinion Letters
- Rule 144(d)
- Rule 144(d)(3)(ii)
- Rule 144A
- Rule 145
- Rule 147
- Rule 147A
- Rule 148
- Rule 14a-2(b)
- Rule 14a-8
- Rule 14a-8 No-Action Letter
- Rule 14a-8(b)
- Rule 152
- Rule 156
- Rule 15a-6
- Rule 15a-6(b)(3
- Rule 15C2-11
- Rule 15g-1(b)
- Rule 163
- Rule 17a-7
- Rule 206
- Rule 2241
- Rule 2242
- Rule 241
- Rule 24b-2
- Rule 255
- Rule 2a51-1(b)
- Rule 3-10
- Rule 3-16
- Rule 3a51-1
- Rule 405
- Rule 406
- Rule 415
- Rule 419
- Rule 501
- Rule 501 of Regulation D
- Rule 501(a)
- Rule 503
- Rule 504
- Rule 504 of Regulation D
- Rule 505
- Rule 506
- Rule 506(b) of Regulation D
- Rule 506(c)
- Rule 506(c) of Regulation D
- Rule 5100
- Rule 5101
- Rule 5110
- Rule 5121
- Rule 5635(d)
- Rule 6490
- Rule 701
- Rule 701(e)
- Rule 803
- Rule 83
- Rural Business Investment Companies (RBICs)
- S-1 Filings
- S-1 Registration Statement
- S-3 Eligibility
- S-3 Registration Statement
- S-3 Shelf Registrations
- Safe Harbors
- Sarbanes-Oxley Act of 2002
- Sarbanes-Oxley Act of 2002 (SOX)
- Schedule 13D
- Schedule 13G
- Schedule 14A
- Schedule 14C
- Schedule 15G
- Schedule TO
- SEA Rule 15c2-11
- SEC
- SEC Advisory Committee
- SEC Auditor Independence Rules
- SEC Bulletin
- SEC Chair Allison Herron Lee
- SEC Chair Gary Gensler
- SEC Chairman Jay Clayton
- SEC Chief Accountant Wes Bricker
- SEC Chief Accountant Wes Bricker
- SEC Comment Letters
- SEC Commissioner Caroline A. Crenshaw
- SEC Commissioner Hester M. Peirce
- SEC Disclosure Effectiveness Initiative
- SEC Disclosures
- SEC Division of Corporation Finance
- SEC Division of Enforcement
- SEC Exempt Offerings
- SEC Fall 2020 Regulatory Agenda
- SEC Filings
- SEC Guidance
- SEC Investor Alert
- SEC Office of the Chief Accountant (OCA)
- SEC Payment Methods
- SEC Penalties Act
- SEC Proxy Rules
- SEC Regulatory Agenda
- SEC Reporting Requirements
- SEC Risk Alerts
- SEC Rule 10A-3
- SEC Rule 15c2-11
- SEC Schedule 14A
- SEC Subpoena Power
- Section 10(a)(3)
- Section 10D to the Exchange Act
- Section 11
- Section 12
- Section 12(a)
- Section 12(b)
- Section 12(g)
- Section 12(g) Registration
- Section 12g
- Section 12g3-2
- Section 13
- Section 13(d)
- Section 13(g)
- Section 13(q)
- Section 14
- Section 15(d)
- Section 16
- Section 17(b)
- Section 18
- Section 2(a)(15)
- section 2(a)(48)
- Section 21F
- Section 27A
- Section 3(a)(10)
- Section 3(a)(11)
- Section 3(a)(2)
- Section 3(a)(39)
- Section 3(a)(5)(A)
- Section 3(a)(9)
- Section 3(c)(1)
- Section 304
- Section 4(2)
- Section 4(a)(1)
- Section 4(a)(2)
- Section 4(a)(4)
- Section 4(a)(5)
- Section 4(a)(6)
- Section 4(a)(7)
- Section 5
- Section 5(d)
- Section 503
- Section 507
- Section 508
- Section 8(a)
- Securities Act
- Securities Act of 1933
- Securities Act Rule 411
- Securities Industry and Financial Markets Association (SIFMA)
- Securities Investor Protection Corporation (SIPC)
- Securities Law
- Securities Lending Market
- Securities Tokens
- Security Token Offering (STO)
- Security-based Swaps
- Self-Regulatory Organizations (SROs)
- Senate
- Share Repurchase Disclosure Rules
- Shareholder Proposals
- Simple Agreement for Future Tokens (SAFT)
- Small Business Administration (SBA)
- Small Business Capital Formation
- Small Business Capital Formation Advisory Committee
- Small Public Company Coalition (SPCC)
- Smaller Reporting Company (SRC)
- Smart Contracts
- SPAC IPO Process
- SPAC IPOs
- SPAC Nasdaq Listing Requirements
- SPAC Nasdaq Listing Standards
- SPAC Rules
- SPAC Shareholder Litigation
- SPAC Spin-Offs
- SPAC Trading
- SPAC Warrants
- Special Purchase Vehicle
- Special Purpose Acquisition Companies (SPAC)
- Special Purpose Vehicles (SPVs)
- Spin-Off
- Super 8-K Requirements
- Suspicious Activity Reports (SAR)
- Suspicious Activity Reports (SARs)
- Tag along Rights
- Test The Waters
- The BSTX
- The CARES Act
- The FAST Act
- The Holding Foreign Companies Accountable Act (HFCA)
- The Howey Test
- The JOBS Act
- The Reves Test
- The U.S. Department of the Treasury
- Title III Crowdfunding
- Total Shareholder Return (TSR)
- Transfer Agent Rules
- Transfer Restrictions
- U.S. House of Representatives
- Universal Proxy Cards
- Unregistered Offerings
- Utility Tokens
- Venture Capital
- Virtual Currencies
- Virtual Roadshows
- Voting Rights
- White Paper
- William Hinman
- XBRL
- XRP
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