Laura Anthony, Esq.
Founding Partner
Anthony, Linder & Cacomanolis, PLLC
A Corporate Law Firm
Securities attorney Laura Anthony and her experienced legal team provide ongoing corporate counsel to small and mid-size private companies, OTC and exchange traded public companies as well as private companies going public on the Nasdaq, NYSE American or over-the-counter market, such as the OTCQB and OTCQX. For more than two decades Anthony, Linder & Cacomanolis, PLLC has served clients providing fast, personalized, cutting-edge legal service. The firm’s reputation and relationships provide invaluable resources to clients including introductions to investment bankers, broker-dealers, institutional investors and other strategic alliances. The firm’s focus includes, but is not limited to, compliance with the Securities Act of 1933 offer sale and registration requirements, including private placement transactions under Regulation D and Regulation S and PIPE Transactions, securities token offerings and initial coin offerings, Regulation A/A+ offerings, as well as registration statements on Forms S-1, S-3, S-8 and merger registrations on Form S-4; compliance with the Securities Exchange Act of 1934, including registration on Form 10, reporting on Forms 10-Q, 10-K and 8-K, and 14C Information and 14A Proxy Statements; all forms of going public transactions; mergers and acquisitions including both reverse mergers and forward mergers; applications to and compliance with the corporate governance requirements of securities exchanges including Nasdaq and NYSE American; general corporate; and general contract and business transactions. Ms. Anthony and her firm represent both target and acquiring companies in merger and acquisition transactions, including the preparation of transaction documents such as merger agreements, share exchange agreements, stock purchase agreements, asset purchase agreements and reorganization agreements. The ALG legal team assists Pubcos in complying with the requirements of federal and state securities laws and SROs such as FINRA for 15c2-11 applications, corporate name changes, reverse and forward splits and changes of domicile. Ms. Anthony is also the author of SecuritiesLawBlog.com, the small-cap and middle market’s top source for industry news, and the producer and host of Anthony, Linder & Cacomanolis, PLLC Podcast, Corporate Finance in Focus. In addition to many other major metropolitan areas, the firm currently represents clients in New York, Los Angeles, Miami, Boca Raton, West Palm Beach, Atlanta, Phoenix, Scottsdale, Charlotte, Cincinnati, Cleveland, Washington, D.C., Denver, Tampa, Detroit and Dallas.
Ms. Anthony is a member of various professional organizations including the Crowdfunding Professional Association (CfPA), Palm Beach County Bar Association, the Florida Bar Association, the American Bar Association and the ABA committees on Federal Securities Regulations and Private Equity and Venture Capital. She is a supporter of several community charities including siting on the board of directors of the American Red Cross for Palm Beach and Martin Counties, and providing financial support to the Susan Komen Foundation, Opportunity, Inc., New Hope Charities, the Society of the Four Arts, the Norton Museum of Art, Palm Beach County Zoo Society, the Kravis Center for the Performing Arts and several others. She is also a financial and hands-on supporter of Palm Beach Day Academy, one of Palm Beach’s oldest and most respected educational institutions. She currently resides in Palm Beach with her husband and daughter.
Ms. Anthony is an honors graduate from Florida State University College of Law and has been practicing law since 1993.
Anthony, Linder & Cacomanolis, PLLC . Inquiries of a technical nature are always encouraged.
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Categories
- 14c Information Statement
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- Accelerated Filer
- Accredited Investors
- ADR
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- ADTV
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- ADTV Value
- Alternative Trading Systems (ATS)
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- Clawback Rules
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- Concurrent Private and Public Offerings
- Confidential Treatment Request (CTR)
- Conversion Rights
- Convertible Debt
- Convertible Virtual Currency (CVC)
- Coronavirus
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- CorpFin
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- Distributed Ledger Technology (DLT)
- Division of Economic Risk Analysis (DERA)
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- DTC Eligibility
- Due Diligence
- EDGAR
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- Rule 163
- Rule 17a-7
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- Rule 24b-2
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- Rule 2a51-1(b)
- Rule 3-10
- Rule 3-16
- Rule 3a51-1
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- section 2(a)(48)
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- Section 3(a)(2)
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- Section 3(a)(5)(A)
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- Section 4(2)
- Section 4(a)(1)
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- Section 5
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- Securities Act
- Securities Act of 1933
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- Securities Industry and Financial Markets Association (SIFMA)
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- Securities Law
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- Securities Tokens
- Security Token Offering (STO)
- Security-based Swaps
- Self-Regulatory Organizations (SROs)
- Senate
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- Shareholder Proposals
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- Small Business Administration (SBA)
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- Small Public Company Coalition (SPCC)
- Smaller Reporting Company (SRC)
- Smart Contracts
- SPAC IPO Process
- SPAC IPOs
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- SPAC Nasdaq Listing Standards
- SPAC Rules
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- Special Purchase Vehicle
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- Special Purpose Vehicles (SPVs)
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- 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
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- U.S. House of Representatives
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- Unregistered Offerings
- Utility Tokens
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- White Paper
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- 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
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