Podcasts

    Laura Anthony

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    • Member Type(s): Expert
    • Title:Founding Partner
    • Organization:Legal & Compliance, LLC
    • Area of Expertise:Securities Law
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13 Total Podcast(s)
Podcasts
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  • Title:
    Attorney Laura Anthony Explains Regulation A
    Published:
    Feb 22, 2017, 14:46 CST
    Author:
    Laura Anthony, Esq.
    Type:
    Audio
    Description:
    Regulation A- On November 17, 2016, the SEC Division of Corporation Finance issued three new Compliance and Disclosure Interpretations (C&DI) to provide guidance related to Regulation A. Since the...
  • Title:
    Regulation A – Statistics
    Published:
    Feb 21, 2017, 14:30 CST
    Author:
    Laura Anthony, Esq.
    Type:
    Audio
    Description:
    Regulation A – Statistics- Since the new Regulation A came into effect on June 19, 2015, its use has continued to steadily increase. According to The Vintage Group, through November 30, 2016,...
  • Title:
    What is LawCast
    Published:
    Feb 20, 2017, 10:25 CST
    Author:
    Laura Anthony, Esq.
    Type:
    Audio
    Description:
    Each LawCast episode is approximately five minutes in run time, and provides comprehensive yet succinct answers to some of the most common questions asked by OTC and exchange traded small-cap...
  • Title:
    What is LawCast
    Published:
    Feb 20, 2017, 10:12 CST
    Author:
    Laura Anthony, Esq.
    Type:
    Audio
    Description:
    Each LawCast episode is approximately five minutes in run time, and provides comprehensive yet succinct answers to some of the most common questions asked by OTC and exchange traded small-cap...
  • Title:
    Federal M&A Broker Exemption
    Published:
    Feb 20, 2017, 10:09 CST
    Author:
    Laura Anthony, Esq.
    Type:
    Audio
    Description:
    On January 31, 2014, the SEC Division of Trading and Markets issued a no-action letter in favor of entities effecting securities transactions in connection with the sale of equity control of...
  • Title:
    Form 8-K
    Published:
    Feb 20, 2017, 10:07 CST
    Author:
    Laura Anthony, Esq.
    Type:
    Audio
    Description:
    On September 26, 2016, and again on the 27th, the SEC brought enforcement actions against issuers for the failure to file 8-K’s associated with corporate finance transactions and in particular PIPE...
  • Title:
    M&A Broker- Dealer Requirements
    Published:
    Feb 20, 2017, 10:05 CST
    Author:
    Laura Anthony, Esq.
    Type:
    Audio
    Description:
    Following the SEC’s lead, effective July 1, 2016, Florida passed a statutory exemption from the broker-dealer registration requirements for entities effecting securities transactions in connection...
  • Title:
    Florida Broker-Dealer Registration Exemptions
    Published:
    Feb 20, 2017, 10:02 CST
    Author:
    Laura Anthony, Esq.
    Type:
    Audio
    Description:
    Following the SEC’s lead, effective July 1, 2016, Florida passed a statutory exemption from the broker-dealer registration requirements for entities effecting securities transactions in connection...
  • Title:
    A comparison of Smaller Reporting Companies and Emerging Growth Companies
    Published:
    Feb 20, 2017, 09:57 CST
    Author:
    Laura Anthony, Esq.
    Type:
    Audio
    Description:
    The topic of reporting requirements and distinctions between various categories of reporting companies has been prevalent over the past couple of years as regulators and industry insiders examine...
  • Title:
    Foreign Private Issuers and ADRs
    Published:
    Feb 20, 2017, 09:53 CST
    Author:
    Laura Anthony, Esq.
    Type:
    Audio
    Description:
    An ADR is a certificate that evidences ownership of American Depository Shares or ADS which, in turn, reflect a specified interest in a foreign company’s shares...
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