1700 Palm Beach Lakes Blvd, Suite 820
West Palm Beach, FL
(800) 341-2684
Call Toll Free
Contact us
Online Inquiries 24/7
Laura Anthony, Esq.
More Info
About Firm
Anthony L.G., PLLC
LegalAndCompliance.com
LAWCAST
Disclaimer
Guest Authors
Menu
Laura Anthony, Esq.
More Info
About Firm
Anthony L.G., PLLC
LegalAndCompliance.com
LAWCAST
Disclaimer
Guest Authors
Search
Search
MAKE
VALUED
ALLIANCES
#
14c Information Statement
15c2-11 Application
A
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
B
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
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
Cybersecurity Disclosures
Cybersecurity Risks
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
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
Free Writing Prospectus
Free Writing Prospectus (FWP)
Freedom of Information Act (FOIA)
Functional Token
Funding Portals
G
GAAP
Going Public
Government Accountability Office (GAO)
Greenshoe Option
Gun Jumping
H
Holding Foreign Companies Accountable Act (HFCA)
Hostile Takeover
Howey Test
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
JOBS Act IPO
K
Know Your Customer (KYC)
L
Large Accelerated Filer
LEI Number
Liquidation Preferences
Listing Of Additional Shares (LAS)
Litecoin
Long-Term Stock Exchange (LTSE)
M
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)
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
Office of Compliance Inspections and Examinations (OCIE)
Office of Foreign Assets Control (OFAC)
Office of Terrorism and Financial Intelligence (FTI)
Oldie Token
OTC
OTC Markets
OTC Markets Listing Requirements
OTCIQ
OTCQB
OTCQX
Over the Counter Display Facility (ODF)
Overallotment Option
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
Qualified Institutional Buyers (QIBs)
R
Registered Debt Offerings
Registered National Securities Association (RNSA)
Regulation
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
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
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
Schedule 13D
Schedule 13G
Schedule 14A
Schedule 14C
Schedule 15G
Schedule TO
SEA Rule 15c2-11
SEC
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 Subpoena Power
SEC Rule 10A-3
SEC Rule 15c2-11
SEC Schedule 14A
Section
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
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
Spin-Off
Special Purpose Acquisition Companies (SPAC)
Special Purchase Vehicle
Special Purpose Vehicles (SPVs)
Super 8-K Requirements
Suspicious Activity Reports (SAR)
Suspicious Activity Reports (SARs)
T
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
U.S. House of Representatives
Universal Proxy Cards
Unregistered Offerings
Utility Tokens
V
Venture Capital
Virtual Currencies
Virtual Roadshows
Voting Rights
W
White Paper
William Hinman
X
XBRL
XRP
Menu
#
14c Information Statement
15c2-11 Application
A
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
B
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
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
Cybersecurity Disclosures
Cybersecurity Risks
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
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
Free Writing Prospectus
Free Writing Prospectus (FWP)
Freedom of Information Act (FOIA)
Functional Token
Funding Portals
G
GAAP
Going Public
Government Accountability Office (GAO)
Greenshoe Option
Gun Jumping
H
Holding Foreign Companies Accountable Act (HFCA)
Hostile Takeover
Howey Test
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
JOBS Act IPO
K
Know Your Customer (KYC)
L
Large Accelerated Filer
LEI Number
Liquidation Preferences
Listing Of Additional Shares (LAS)
Litecoin
Long-Term Stock Exchange (LTSE)
M
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)
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
Office of Compliance Inspections and Examinations (OCIE)
Office of Foreign Assets Control (OFAC)
Office of Terrorism and Financial Intelligence (FTI)
Oldie Token
OTC
OTC Markets
OTC Markets Listing Requirements
OTCIQ
OTCQB
OTCQX
Over the Counter Display Facility (ODF)
Overallotment Option
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
Qualified Institutional Buyers (QIBs)
R
Registered Debt Offerings
Registered National Securities Association (RNSA)
Regulation
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
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
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
Schedule 13D
Schedule 13G
Schedule 14A
Schedule 14C
Schedule 15G
Schedule TO
SEA Rule 15c2-11
SEC
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 Subpoena Power
SEC Rule 10A-3
SEC Rule 15c2-11
SEC Schedule 14A
Section
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
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
Spin-Off
Special Purpose Acquisition Companies (SPAC)
Special Purchase Vehicle
Special Purpose Vehicles (SPVs)
Super 8-K Requirements
Suspicious Activity Reports (SAR)
Suspicious Activity Reports (SARs)
T
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
U.S. House of Representatives
Universal Proxy Cards
Unregistered Offerings
Utility Tokens
V
Venture Capital
Virtual Currencies
Virtual Roadshows
Voting Rights
W
White Paper
William Hinman
X
XBRL
XRP
FOIA
Home
»
FOIA
It seems we can't find what you're looking for. You can try our site search.
Categories
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
Menu
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
Contact Author
Have a Question for Laura Anthony?
LAnthony@AnthonyPLLC.com
Local: 561-514-0936
Toll Free: 800-341-2684
1700 Palm Beach Lakes Blvd, Suite 820, West Palm Beach FL 33401
