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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 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.

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Rule 144 – A Deep Dive – Part 3 – Current Public Information

In this third installment of my series on Rule 144, I will begin discussing the various conditions for the use of the Rule, including the current public information requirement.  In the first installment, I provided a high-level review of Rule 144 – see HERE and in the second, discussed definitions including the impactful “affiliate” definition – see HERE.

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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.

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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).

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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.

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