Laura Anthony

Laura Anthony

Founding Partner at Legal & Compliance, LLC
  • Securities Law
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Ms. Anthony is an honors graduate from Florida State University College of Law and has been practicing law since 1993. Prior to founding Legal & Compliance, LLC, she served as Chief Legal Counsel for a national investment banking firm and NASDAQ broker dealer with over 200 employees. Ms. Anthony headed the firm's legal and compliance department and coordinated all legal work for the firm including all aspects of FINRA and SEC regulations, FINRA arbitrations, and public and private transactions.

Practice Area
  • Securities Law
  • Credit Cards Accepted
Florida State University College of Law
Florida Atlantic University
B.A. (1990) | International Economics
Honors: William J. Freurhlein Award in International Economics
Activities: Chief Student Lobbyist; Chief of Staff of Student Government and General Manager of School Newspaper
Professional Associations
Florida State Bar # 0994049
OTCQX Rules for International Companies

OTCQX Rules for International Companies- To be eligible to be quoted on the OTCQX International, companies...

Howey Test

Howey Test- Under the Howey Test, whether an investment instrument is a security requires a substance-over-form analysis. Clearly a “stock” or “bond” is a security, but an investment contract can take many different forms and its underlying character may not be as easily recognizable. The Howey Test defines an investment contract as follows...

NYSE MKT Listing Requirements

NYSE MKT Listing Requirements- The NYSE MKT is the small- and micro-cap exchange level of the NYSE suite of marketplaces. The NYSE MKT was formerly the separate American Stock Exchange known as the AMEX. In 2008, the NYSE Euronext purchased the AMEX and in 2009 renamed it the NYSE Amex Equities. In 2012 the exchange was renamed again to the current NYSE MKT. The NASDAQ and NYSE MKT are ultimately business operations vying for attention and competing to attract the best publicly traded companies and investor following.

OTC Markets, OTCQX Benefits, and NASDAQ

OTC Markets, OTCQX Benefits, and NASDAQ - There are many benefits to trading on an exchange such as NASDAQ. The biggest benefits to an exchange are the ability to attract analyst coverage and institutional investors, and the corresponding increase in liquidity that comes with both. Stocks that trade on NASDAQ tend to have a lower bid/offer spread than over the counter securities —again, encouraging trading volume...

NASDAQ Listing Requirements

NASDAQ Listing Requirements- Today is the first Lawcast in a series discussing NASDAQ listing requirements.The NASDAQ Stock Market currently has three tiers of listed companies: (1) The NASDAQ Global Select Market, (2) The NASDAQ Global Market and (3) The NASDAQ Capital Market. Each tier has increasingly higher listing standards, with the NASDAQ Global Select Market having the highest initial listing standards and the NASDAQ Capital Markets being the entry-level tier for most micro- and small-cap issuers. This Lawcast series is focused on the NASDAQ Capital Market tier.

SEC Disclosure Requirements

SEC Disclosure Requirements- Today is the second Lawcast in a series discussing SEC disclosure requirements. As mentioned in the last Lawcast in this series in September 2015 the SEC Advisory Committee on Small and Emerging Companies met and finalized its recommendation to the SEC regarding changes to the disclosure requirements for smaller publicly traded companies.

Responding To SEC Comments

Responding To SEC Comments- The SEC Division of Corporation Finance, referred to as “CorpFin” in the industry, reviews and comments upon filings made under the Securities Act of 1933 such as S-1 and S-3 registration statements and the Securities Exchange Act of 1934 such as quarterly reports on Form 10-Q, annual reports on Form 10-K and periodic 8-K filings. The purpose of a review by CorpFin is to ensure compliance with the disclosure requirements under the federal securities laws, including Regulation S-K and Regulation S-X, and to assist in enhancing such disclosures as to each particular company. CorpFin’s primary objective really is to improve disclosure which is thought to be the foundation of protecting investors.

What is LAWCAST?

What is LAWCAST? What is the role of a securities attorney? What are the filing requirements and rules related to officers, directors and 5% or greater shareholders? 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...

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