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- Clawback Rules
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- Confidential Treatment Request (CTR)
- Conversion Rights
- Convertible Debt
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- Coronavirus
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- CorpFin
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- E
- EDGAR
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- F
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- Freedom of Information Act (FOIA)
- Functional Token
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- G
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- Inline XBRL Tagging
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- Institutional a Institutional Accredited Investors (“IAIs”)
- Internal Control Over Financial Reporting (ICFR)
- Internal Controls Over Financial Reporting (ICFR)
- Intrastate: Rule 147
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- IPO Cross
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- J
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- Rule 5121
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- Rule 803
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- Rural Business Investment Companies (RBICs)
- S
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- Super 8-K Requirements
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- T
- U
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- X
- #
- A
- B
- C
- 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
- 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
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- Regulation A+
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- Regulation ATS
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- Regulation Crowdfunding; Section 4(a)(6)
- Regulation D
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- Regulation S-K
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- Regulation SCI
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- Regulation T
- Relief
- Reporting Requirements
- Retail Strategy Task Force
- Reverse Mergers
- Reverse Split
- Reverse Triangular Merger
- Ripple
- Risk Alert
- Risk Factors
- Road Shows
- Rule
- Rule 10b-17
- Rule 10b-18
- Rule 10b5-1
- Rule 10b5-2(b)
- Rule 13-01
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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
- Rule 241
- Rule 24b-2
- Rule 255
- Rule 2a51-1(b)
- Rule 3-10
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- Rule 3a51-1
- Rule 405
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- Rule 501
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- Rule 501(a)
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- Rule 504 of Regulation D
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- Rule 506(c)
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- Rule 5100
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- 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
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- SEC
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- 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)
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- Smart Contracts
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- Suspicious Activity Reports (SAR)
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WELCOME
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 L.G., PLLC using any of the contact forms on this site or visit the firm website for further information.
RECENT POSTS

SEC Issues Guidance On New Pay Versus Performance Disclosure Rules
On February 10, 2023, the SEC published 15 new Compliance and Disclosure Interpretations (C&DI) related to the pay versus performance (“Pay vs. Performance”) disclosure rules which were, in turn, adopted in August, 2022 after seven years in the process.

SPAC Director And Sponsor Fiduciary Obligations
A year following the Delaware Chancery Court’s decision in Multiplan Corp. Stockholders Litigation (f/k/a Churchill Capital Corp III), the court again issued an opinion supporting a breach of fiduciary duty cause of action against SPAC directors and sponsors and confirming that a de-SPAC transaction should be reviewed using the “entire fairness” standard.

SEC To Shorten Settlement Cycle
On February 15, 2023, the SEC adopted final rules shortening the standard settlement cycle from two business days (T+2) to one business day (T+1). A shorter settlement cycle will reduce the credit, market and liquidity risks in securities transactions. The SEC previously shorted the standard cycle from three days (T+3) to T+2 in 2017 and at that time, and in speeches and rule making agendas since then, has consistently indicated efforts to move to T+1.

Nasdaq Amends Pricing Limitations Rules In A Direct Listing
The rules related to direct listings continue to evolve, with the latest Nasdaq rule change being approved on December 2, 2022, although their utilization has been slow to gain traction. Despite the Exchange’s efforts to make the process more attractive and viable, based on a few articles on the subject, only 10 companies had gone public via direct listing as of December 31, 2021, and I could not find a single example of any others since that time. Moreover, and certainly due to the elevated listing standards and arduous process, each of the companies have been much more mature such as Spotify, Slack, Palantir and Coinbase.

Changes To FINRA’S Corporate Action Notification Process
Effective June 3, 2023, FINRA will be replacing and updating the system for filing a Company Related Action Notification form, which form begins the process with FINRA to effectuate a corporate action initiated by a company trading on OTC Markets. The new process allows companies to submit forms, get updates and respond to comments through an electronic FINRA gateway.

Class Voting in Delaware – The Saga Continues
Just a few weeks ago, I wrote about the Garfield v. Boxed, Inc. case in Delaware questioning whether Class A and Class B common stock in a SPAC structure were different series of a same class or different classes of stock requiring separate class voting in certain circumstances. The Delaware Chancery court in Garfield v. Boxed, found that in that particular case, the Class A and Class B were separate classes requiring a separate class vote to increase the total outstanding common stock as required by the Delaware General Corporate Law (DGCL) Section 242(b)(2).

SEC Issues Additional C&DI On Use Of Non-GAAP Measures
On December 13, 2022, the SEC issued seven new Compliance & Disclosure Interpretations (C&DI) related to the use of non-GAAP financial measures, the first new C&DI on the subject since 2018. Several of the new C&DI update or replace the language of prior existing C&DI. The C&DI cover revenue recognition, misleading information and GAAP reconciliation, in some cases replacing a principles-based response with a more prescriptive approach.

SEC Continues It’s Crypto Focus
In the year and a half since Gary Gensler made it clear to the world that he intends to focus on the crypto “wild west” things have gone from bad to worse for the industry. Of course, it is not all the SEC’s extreme crypto scrutiny that is causing problems, but the very real crypto winter including the collapse of the FTX exchange and its FTX Future Fund, and the realization that the metaverse of tomorrow, will actually not be here until… tomorrow have all added to industry problems. Not to mention a slew of bankruptcy filings (FTX, Blockfi, Celsius and Voyager) and several other precarious financial positions (Blockchain.com, Coinbase, Crypto.com and Genesis, to name a few).

The 211 Rules And Shell Companies

NYSE Annual Compliance Guidance Memo 2022


M&A Broker Dealer Registration

SEC Fall 2022 Regulatory Agenda

SEC Adopts Amendments To Rule 10b5-1 Insider Trading Plans


Report On The 41st Annual Small Business Forum

Compliance Deadlines For Nasdaq Board Diversity Rules

Human Capital Disclosures
Market Makers Rely on Due Diligence in Reverse Mergers
OTCBB Reporting Requirements Enable Successful Reverse Mergers
Examination of Rule 144 and Potential Interpretations
Categories
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- Bitcoin
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- 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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