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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what is lawcast
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Uploaded By: Laura Anthony, Esq.
Date Added: November 10, 2016
Description: What is LawCast?- I’ve been practicing securities law for more than 20 years. In that time the small cap marketplace, including the OTC market, have substantially evolved. Rudimentary business practices have become increasingly technical due to more expansive regulatory requirements by the SEC, FINRA, DTC, NASDAQ and other exchanges and the OTC Markets itself. This escalation in operational complexity has been accompanied by an equally intensified atmosphere of competition amongst public companies. More than 10,000 Companies trade on the OTC Markets and more than 10,000 small cap companies trade on an exchange such as the NASDAQ and NYSE MKT, and each one vies for attention in order to attract the most qualified investors. Consequently, each small-cap company has its own specific legal needs. Pubco Officers and Directors do not need to become experts in securities law, but they must possess a fundamental understanding of the rules and regulations that govern their Companies. Securities law is extremely technical and not easily understood, even by attorneys not versed in this particular area of law. Hence, the creation of LawCast, the Securities Law Network. 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 Issuers and other industry professionals, including for example; • What is the role of a securities attorney? • How do I remove a DTC Chill? • What is the process to complete a merger or acquisition? • What are the benefits of a reverse merger? • How does a Company go public by IPO? • How do I choose an investment banker and can I complete an IPO without one? • What is Rule 144 and how does it work? • How do I take my Company public by S-1? • What is a Form 10 Registration Statement? • How many shareholders do I need to go public? • What are SEC filing requirements? LawCast profiles current industry developments such as proposed rule changes, continuing rule making and implementation of the JOBS Act provisions, SEC and FINRA enforcement initiatives and real world issues with depositing small cap securities with brokerage firms or establishing trading markets. LawCast was designed to be a news service that satisfies the informational needs of a very specific sector of the American economy; the OTC and exchange traded Small-Cap Markets; the platforms where concepts become realities and burgeoning businesses become multi-million dollar household names. LawCast perpetually strives to stay current with the needs of the OTC, NASDAQ and NYSE MKT Small-Cap Industry. In addition to the law itself, industry trends and practices are perpetually changing; established ones fall to the wayside and are quickly replaced with contemporary, lesser known practices. Private placement offerings, direct public offerings, OTC and Exchange listing requirements, state blue sky laws, FINRA disclosure requirements, market maker responsibilities and 15c-211 applications are just a handful of the subjects we clarify in clear, understandable language. Whether you an OTC, NASDAQ or NYSE MKT Issuer, Market Maker, PCAOB Auditor, Investment Banking Firm, Transfer Agent, Securities Attorney or even a small-cap enthusiast, we produce a LawCast FOR YOU. Since the inception of LawCast viewership has grown dramatically, and small-cap marketplace Industry professionals have grown to depend on us. We do more than just expound on securities law, we strive to stay AHEAD of the news and information forefront, anticipating potential regulatory changes whenever possible. LawCast can be viewed in three ways; via our station on Apple TV, on YouTube and of course, on our proprietary website LawCast.com.
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