Anthony, Linder & Cacomanolis, PLLC - Securities Law Blog

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Securities Law Blog

Use the search or alphabetical categories to locate information on any and all schedules, rules, legislation or updates to corporate and securities laws. Laura Anthony, Esq. has been publishing weekly articles for the past 600 weeks. If you need assistance or have questions, please reach out to Laura Anthony, Esquire, Founding Partner of Anthony, Linder & Cacomanolis, PLLC using any of the contact forms on this site or visit the firm website for further information.

RECENT POSTS

SEC Publishes New CD&I On Schedule 13D-G

July 29, 2025

In October 2023, the SEC adopted final amendments to Sections 13(d) and 13(g) of the Exchange Act. To review the final amendments see HERE and HERE. In March 2025, the SEC published a few CD&I’s related to the new amendments (see HERE).

SEC Publishes New CD&I On Compensation Clawbacks And De-SPAC C-Registrants

July 22, 2025

On April 11, 2025, the SEC published several updates to its compliance and disclosure interpretations (“CD&I”) related to compensation clawbacks and co-registrants in de-SPAC transactions.

Market Wrap-Up Q2 2025

July 15, 2025

This edition of my market recap covers the second quarter of 2025. For a review of November and December 2024 see HERE; for October 2024 see HERE; and for Q1 2025 see HERE.

Thirty-three small cap ($30,000,000 and under) IPOs priced in the second quarter of 2025 (20 in April, 5 in May and 8 in June) – a downtrend from Q1 2025. Below is a chart of relevant deal information for the second quarter IPOs.

SEC Officials Talk Tokenization

July 8, 2025

On Mary 12, 2025, SEC Chair Paul S. Atkins and Commissioner Mark T. Uyeda gave speeches at the crypto task force roundtable on tokenization.

NYSE Amends Listing Standards For Foreign Private Issuers And Listing Fees For All Issuers

July 1, 2025

In April the NYSE amended its listing fees for all issuers and in May 2025, amended the standards for foreign private issuers to meet the exchange’s minimum stockholder distribution requirements. The new rules were enacted a few weeks before the SEC published a concept release and request for comment related to foreign private issuers in general (which will be the subject of an upcoming blog).

SEC Withdraws 14 Rule Proposals

June 24, 2025

On June 12, 2025, the SEC withdrew fourteen (14) rule proposals, backtracking many Biden-era regulations including several in the environmental, social and governance (ESG) arena. This move clears the slate for what should be a very different spring regulatory agenda, expected to be published in early July. Each of these rules were discussed to some extent in my last Regulatory Agenda update – which can be reviewed here – HERE.

Disclosures On Offerings And Registrations Of Securities In The Crypto Asset Markets

June 17, 2025

On April 10, 2025, the SEC Division of Corporation Finance (“CorpFin”) issued a statement on disclosurs in offerings and registrations of securities in the crypto asset markets. This is the third statement issued by CorpFin on various topics dealing with cryptocurrencies and digital assets in a matter of weeks. For a review of CorpFin’s statement on certain proof of work mining activities see HERE and on stablecoins, see HERE.

SEC Statement On Stablecoins

June 10, 2025

On April 4, 2025, the SEC’s Division of Corporation Finance (“CorpFin”) issued a statement on stablecoins. In Particular, the statement addresses stablecoins that are designed to maintain a stable value relative to the United States Dollar (“USD,”) on a one-for-one basis, can be redeemed for USD on a one-for-one basis (i.e., one stablecoin to one USD), and are backed by assets held in a reserve that are considered low-risk and readily liquid with a USD-value that meets or exceeds the redemption value of the stablecoins in circulation (“Covered Stablecoins”).