Received a Nasdaq or NYSE Delisting Notice? Don't Assume You Have Only One Option.
A delisting notice is serious—but it doesn't necessarily mean the end of your company's public market future. After more than 40 years advising public companies and working on Wall Street, I've seen situations where executives were told...
Nasdaq Microcap Rule
The SEC approved a new Nasdaq standard requiring a minimum Market Value of Listed Securities (MVLS) of $5 million. Breaching this for 30 consecutive business days triggers immediate suspension and delisting proceedings with no standard cure period or stay during appeals.
On Semi-Annual Reporting
On May 5th, the SEC proposed to amend Exchange Act Section 13(a) and 15(b) that governs the reporting frequency...
New Broker-Dealer Rule: A Boon for OTC Transparency?
On March 16th, 2026, the Securities and Exchange Commission (SEC) proposed amendments...