Laura Anthony, Esq.

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