Attorney Laura Anthony – Medium

Attorney Laura Anthony

Attorney Laura Anthony

New SEC Compliance Alert Identifies Most Common Violations by Investment Advisers Who Advertise

Which violations occur most when investment advisers decide to advertise their services to potential clients?

Jan 4, 2018

Jan 4, 2018

Attorney Laura Anthony

Newly Established SEC Office and Advisory Committee Will Advocate for Small Business Capital…

A two-year federal effort to modernize regulations and policies governing small and emerging growth companies (EGCs) will result in new a…

Dec 28, 2017

Dec 28, 2017

Attorney Laura Anthony

Hefty SEC Report on Impact of Regulatory Reform Finds Increased Private Offerings and Small Company…

A sizable U.S. Securities and Exchange Commission (SEC) report on the impact of regulatory reforms enacted after the 2008 financial crisis…

Dec 21, 2017

Dec 21, 2017

Attorney Laura Anthony

Stricter Promotion Policies and Best Practice Guidelines Fuel OTC Markets Group’s Embrace of More…

The New York-based financial market that specializes in more than 10,000 over-the-counter securities is cracking down on fraudulent or…

Dec 8, 2017

Dec 8, 2017

Attorney Laura Anthony

Revelation of a May 2016 Hack of the SEC EDGAR Filing System Brings Request for $100 Million to…

The biggest news from the U.S. Securities and Exchange Commission (SEC) on September 20, 2017 was less about the $100 million requested by…

Dec 8, 2017

Dec 8, 2017

Attorney Laura Anthony

In Wake of 2016 EDGAR Hacking, SEC Launches Two Cybersecurity Initiatives to Protect Investors and…

Just five days after announcing a 2016 hack of its EDGAR filing system, the U.S. Securities and Exchange Commission (SEC) has outlined a…

Dec 8, 2017

Dec 8, 2017

Attorney Laura Anthony

SEC Rule Modernizes the Technology of Corporate Reporting by Requiring Hyperlinks and HTML Formats…

Companies that file registration statements or reports with the U.S. Securities and Exchange Commission (SEC) must now use HTML formatting…

Dec 4, 2017

Dec 4, 2017

Attorney Laura Anthony

As Five-Year Time Clock Runs Out, Emerging Growth Companies (EGCs) Seek Relief from the U.S.

Companies that qualify as “emerging growth companies” (EGC’s) as a result of a 2012 law are asking for relief from the U.S. Securities and…

Dec 4, 2017

Dec 4, 2017

Attorney Laura Anthony

More Than a Dozen New Rules Seek to Modernize and Simplify SEC Disclosure Requirements

More than a dozen new rules governing everything from how corporate properties are described in financial documents to the design and…

Nov 15, 2017

Nov 15, 2017

Attorney Laura Anthony

West Palm Beach Securities and Investment Attorney Weighs in on NASDAQ’s Framework for Overhauling…

Nasdaq Inc., the multinational company that owns the NASDAQ stock exchange, is calling for an overhaul and modernization of the U.S…

Nov 6, 2017

Nov 6, 2017

Attorney Laura Anthony

Attorney Laura Anthony

The Official Medium of Securities Attorney Laura Anthony, Founding Partner of Legal & Compliance, LLC, a national corporate and securities law firm.

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