Securities Attorney Laura Anthony Talks Rodman & Renshaw Conference, OTCQX Advisor Eligibility and LawCast 2.0

Sep 06, 2016, 05:00 ET from Legal & Compliance, LLC

WEST PALM BEACH, Florida, September 6, 2016 /PRNewswire/ --

Labor Day marks the end of the summer slump and the beginning of the small-cap season. Venture capitalists focus their efforts to take private companies public by the beginning of the year, small-cap industry service providers roll out their latest innovations, and some of the most important investment banking conferences are held so corporate finance specialists can connect.

Attorney Laura Anthony is the founding partner of Legal & Compliance, LLC, a national corporate, securities and business transaction law firm. Like many of her contemporaries, Ms. Anthony organizes her legal team for the fall workload and prepares for the 8th Annual Rodman & Renshaw Global Investment Conference to be held at the Palace Hotel in New York City on September 11 to September 13. In addition, attorney Laura Anthony has just launched the 2.0 version of LawCast™, the securities law network.

"We've completed the second generation of LawCast™ just in time for the busy season," said attorney Laura Anthony. "For almost two years we've managed to produce anywhere from two to three new segments a week. The site is now completely different from its previous incarnation and the feedback we're receiving far exceeds our expectations."™ provides timely, in-depth coverage of the most important news in the small-cap industry. Produced and hosted by attorney Laura Anthony, LawCast™ expounds on FINRA compliance, going public, direct public offerings, SEC reporting requirements, due diligence of public shells, S-1 registration statements, OTC listing requirements, DTC chills and virtually every other aspect of securities law. LawCast™ is the essential resource for investment bankers, securities attorneys, market makers, transfer agents, PCAOB auditors, CEO's of privately-held and public companies, and virtually everyone in the OTC and small-cap marketplace.      

Attorney Laura Anthony continued, "We put a lot of time and effort into covering a wide variety of topics but one of the recent segments that is attracting a lot of views pertains to OTCQX Advisor and PAL eligibility.

All U.S. companies that are quoted on the OTCQX must have either an attorney or an Investment Bank OTCQX Advisor. OTCQX Advisors and PALs must be approved by OTCQX after submitting an application. Eligibility to act as an OTCQX Advisor or PAL is limited to experienced and qualified securities attorneys or qualified FINRA member investment banking firms.

An OTCQX Advisor and PAL provides advice and guidance so companies can meet OTCQX obligations; guide issuers as they create investor awareness and build long-term relationships with management; assist companies in discerning what information is material and should be disclosed to investors; and professionally review company disclosures.

"The OTCQX requires that the OTCQX Advisor/PAL accepts responsibility for the companies they sponsor," said attorney Laura Anthony. "This practice ensures that the OTCQX Advisor/PAL does not represent companies of insufficient quality."

In addition to providing advice and counsel to an OTC issuer, an OTCQX Advisor/PAL is required to conduct investigations to confirm disclosures.

The Author:  

Securities attorney Laura Anthony and her experienced legal team provide ongoing corporate counsel to small and mid-size OTC and exchange traded issuers as well as private companies going public on the over-the-counter market, such as the OTCQB and OTCQX or an exchange such as NASDAQ or NYSE MKT. Legal & Compliance, LLC is a comprehensive corporate, securities and business transactions law firm assisting clients in all aspects of commerce, including initial public offerings, reverse mergers, registered public offerings, exempt private offerings, all forms of complex corporate finance transactions, compliance with national exchanges such as the NASDAQ and NYSE MKT and the over-the-counter market trading platforms such as OTCQB and OTCQX, compliance with FINRA and DTC, strategic planning for unique management and ownership issues, and broad-scope legal services. Securities attorney Laura Anthony is an approved DAD and PAL Advisor with OTC Markets Group, the creator and author of and the producer and host of, The Securities Law Network.  


Laura Anthony, Esq. 
Founding Partner
Legal & Compliance, LLC

SOURCE Legal & Compliance, LLC