Personal Information
Organization / Workplace
West Palm Beach, Florida Area United States
Occupation
Founding Partner of Legal & Compliance, LLC
Industry
Legal
About
Laura Anthony, Esq.
Founding Partner
Legal & Compliance, LLC
Corporate, Securities and Going Public Attorneys
Laura Anthony, Esq. is the founding partner of Legal & Compliance, LLC, a national corporate, securities and business transaction law firm that represents public companies and private companies going public.
For the past 20 years Ms. Anthony has focused her law practice on small and mid-cap private and public companies, the OTC market, going public transactions, mergers and acquisitions, private placement and corporate finance transactions, Exchange Act and other regulatory reporting requirements, FINRA and DTC requirements, state and federal securities laws, crowdfunding, ge...
Tags
dao tokens
icos
blockchain technology
dao
blockchain
sec
regulation a
nyse mkt listing requirements
initial cryptocurrency offerings
dlt
distributed ledger technology
otc pink marketplace
otc pink
finra
small business capital formation
security
lawcast
form 1-a
nyse mkt
mini ipo
regulation a+ ipo
reg a+
nasdaq capital market
digital coins
sec statement on digital coins
regulation ats
section 5 obligations
howey test
applying the howey test to the dao tokens
dao report
section 5 of the securities act of 1933
section 5 registration requirements
dao token
ico
initial cryptocurrency offering
dlt for the securities industry
securities industry
broker dealers
blockchain applications
blockchain applications to broker dealers
blockchain legal contracts
blockchain legal implications
blockchain legal services
distributed ledger
finra’s blockchain symposium
blockchain technology explained
capital markets
blockchain technology and the capital markets
secondary offerings
confidential registration statements
follow on offerings
otc pink quotation criteria
otc pink quotation levels
pink sheet listing requirements
pink sheets
otc pink listing requirements
finra consolidation of registered representative e
sie
sie examinations
finra exams
sec government business forum on small business ca
sec government-business forum
attorney laura anthony
nasdaq capital market benefits
nasdaq capital markets application
nasdaq capital market application
nasdaq
nasdaq capital markets
nasdaq capital markets director independence stand
nasdaq capital market corporate governance standar
special signature guarantee
new york stock exchange medallion signature progra
medallion guarantee
securities transfer agents medallion program
stock exchanges medallion program
esignatureguarantee
transfer of securities
seth farbman
medallion guarantees
esignature program
director independence
nyse mkt director independence
adrs
foreign private issuers
american depository receipts
american depository shares
m&a broker exemption
florida
form 8k
form 8-k
laura anthony
emerging market
an emerging market for u.s. investors
india
emerging markets
form 1-a filings
form 1-a benefit
filing a form 1-a.
form 1-a filing
nyse
listing requirements
regulation a+
amex
nyse mkt llc
american stock exchange
nyse mkt
nasdaq global select
nasdaq global select market
broker - dealer registration requirements
m&a brokers
jumpstart our business startups act
jobs act
short - swing tradin g
section 16 insider reporting
cons iderations prior to going public
assessing the marketplace
building investor awareness
transfer agents
monitoring for misinformation
planning to overcome the wild card
management team media
preparation of audited financial statements
sec reporting requirements
assembling the pubco team
financial stability of officers and dire ctors
raising capital
dtc
the depository trust company
dtc chills
dtc global locks
dtc chill
depository trust company
dtc eligibility
dtc procedures
direct public offering
form s-1 registration statement requirements
direct public offerings
form s-1
the dpo process
otc markets listing requirements
smaller reporting companies
emerging growth companies
due diligence rules
fincen updates due diligence rules
fincen
stock acquisition
standstill provision
m&a deal
mergers and acquisitions
m&a deals
the merger agreement
types of transactions
forward merger
vertical merger
tandy language
sec comment letters
tandy letter
responding to sec comments
nasdaq listing requirements
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Presentations
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(7)Personal Information
Organization / Workplace
West Palm Beach, Florida Area United States
Occupation
Founding Partner of Legal & Compliance, LLC
Industry
Legal
About
Laura Anthony, Esq.
Founding Partner
Legal & Compliance, LLC
Corporate, Securities and Going Public Attorneys
Laura Anthony, Esq. is the founding partner of Legal & Compliance, LLC, a national corporate, securities and business transaction law firm that represents public companies and private companies going public.
For the past 20 years Ms. Anthony has focused her law practice on small and mid-cap private and public companies, the OTC market, going public transactions, mergers and acquisitions, private placement and corporate finance transactions, Exchange Act and other regulatory reporting requirements, FINRA and DTC requirements, state and federal securities laws, crowdfunding, ge...
Tags
dao tokens
icos
blockchain technology
dao
blockchain
sec
regulation a
nyse mkt listing requirements
initial cryptocurrency offerings
dlt
distributed ledger technology
otc pink marketplace
otc pink
finra
small business capital formation
security
lawcast
form 1-a
nyse mkt
mini ipo
regulation a+ ipo
reg a+
nasdaq capital market
digital coins
sec statement on digital coins
regulation ats
section 5 obligations
howey test
applying the howey test to the dao tokens
dao report
section 5 of the securities act of 1933
section 5 registration requirements
dao token
ico
initial cryptocurrency offering
dlt for the securities industry
securities industry
broker dealers
blockchain applications
blockchain applications to broker dealers
blockchain legal contracts
blockchain legal implications
blockchain legal services
distributed ledger
finra’s blockchain symposium
blockchain technology explained
capital markets
blockchain technology and the capital markets
secondary offerings
confidential registration statements
follow on offerings
otc pink quotation criteria
otc pink quotation levels
pink sheet listing requirements
pink sheets
otc pink listing requirements
finra consolidation of registered representative e
sie
sie examinations
finra exams
sec government business forum on small business ca
sec government-business forum
attorney laura anthony
nasdaq capital market benefits
nasdaq capital markets application
nasdaq capital market application
nasdaq
nasdaq capital markets
nasdaq capital markets director independence stand
nasdaq capital market corporate governance standar
special signature guarantee
new york stock exchange medallion signature progra
medallion guarantee
securities transfer agents medallion program
stock exchanges medallion program
esignatureguarantee
transfer of securities
seth farbman
medallion guarantees
esignature program
director independence
nyse mkt director independence
adrs
foreign private issuers
american depository receipts
american depository shares
m&a broker exemption
florida
form 8k
form 8-k
laura anthony
emerging market
an emerging market for u.s. investors
india
emerging markets
form 1-a filings
form 1-a benefit
filing a form 1-a.
form 1-a filing
nyse
listing requirements
regulation a+
amex
nyse mkt llc
american stock exchange
nyse mkt
nasdaq global select
nasdaq global select market
broker - dealer registration requirements
m&a brokers
jumpstart our business startups act
jobs act
short - swing tradin g
section 16 insider reporting
cons iderations prior to going public
assessing the marketplace
building investor awareness
transfer agents
monitoring for misinformation
planning to overcome the wild card
management team media
preparation of audited financial statements
sec reporting requirements
assembling the pubco team
financial stability of officers and dire ctors
raising capital
dtc
the depository trust company
dtc chills
dtc global locks
dtc chill
depository trust company
dtc eligibility
dtc procedures
direct public offering
form s-1 registration statement requirements
direct public offerings
form s-1
the dpo process
otc markets listing requirements
smaller reporting companies
emerging growth companies
due diligence rules
fincen updates due diligence rules
fincen
stock acquisition
standstill provision
m&a deal
mergers and acquisitions
m&a deals
the merger agreement
types of transactions
forward merger
vertical merger
tandy language
sec comment letters
tandy letter
responding to sec comments
nasdaq listing requirements
See more