Laura Anthony

Founding Partner

Legal & Compliance, LLC

Small & mid-cap private and public companies, the OTC market, NASDAQ, NYSE American, going public transactions, mergers and acquisitions

Call Rates

Duration Price
60 minutes $500.00

Tags

Securities Attorney Lawyer SEC OTCQB OTCQX 10-Q 10-K 8-K 14C Reg A/A+ Reg A Reg A+ Form 10 S-1 S-8 S-4 14A Proxy Statements 15c2-11 Applications Name Changes Reverse Split Forward Split FINRA Corporate Actions Federal Securities Law SROs DTC NASDAQ NYSE Crowdfunding Corporate General Contract Business Transactions Corporate Governance Going Public Transactions PIPE Transactions Regulation D Regulation S Registration Statements PAL OTC Markets Advisor Securities Act 1933

Biography

Securities Attorney Laura Anthony is the founding partner of Legal & Compliance, LLC, a national corporate, securities and business transactions law firm. For 23 years Ms. Anthony has focused her law practice on small and mid-cap private and public companies, the OTC market, NASDAQ, NYSE American, going public transactions, mergers and acquisitions, private placement and corporate finance transactions, Regulation A/A+, Exchange Act and other regulatory reporting requirements, FINRA and DTC requirements, state and federal securities laws, crowdfunding, general corporate law and complex business transactions.

Ms. Anthony and the Legal & Compliance team have represented issuers, buyers, sellers, underwriters, placement agents, investors, and shareholders in mergers, acquisitions and corporate finance transactions valued in excess of $1 billion. Legal & Compliance has represented in excess of 200 corporate vehicles and private entities in reverse merger, initial public offering and direct public offering transactions.

Attorney Laura Anthony and her experienced legal team provides ongoing corporate counsel to small and midsize private companies, OTC and exchange traded issuers as well as private companies going public on the NASDAQ, NYSE American or over-the-counter market, such as the OTCQB and OTCQX. For nearly two decades Legal & Compliance, LLC has served clients providing fast, personalized, cutting-edge legal service. The firm’s reputation and relationships provide invaluable resources to clients including introductions to investment bankers, broker-dealers, institutional investors and other strategic alliances.

The firm’s focus includes, but is not limited to, compliance with the Securities Act of 1933 offer sale and registration requirements, including private placement transactions under Regulation D and Regulation S and PIPE Transactions as well as registration statements on Forms S-1, S-8 and S-4; compliance with the reporting requirements of the Securities Exchange Act of 1934, including registration on Form 10, reporting on Forms 10-Q, 10-K and 8-K, and 14C Information and 14A Proxy Statements; Regulation A/A+ offerings; all forms of going public transactions; mergers and acquisitions including both reverse mergers and forward mergers; applications to and compliance with the corporate governance requirements of securities exchanges including NASDAQ and NYSE American; crowdfunding; corporate; and general contract and business transactions.

Attorney Laura Anthony and her firm represents both target and acquiring companies in reverse mergers and forward mergers, including the preparation of transaction documents such as merger agreements, share exchange agreements, stock purchase agreements, asset purchase agreements and reorganization agreements. Ms. Anthony’s legal team prepares the necessary documentation and assists in completing the requirements of federal and state securities laws and SROs such as FINRA and DTC for 15c2-11 applications, corporate name changes, reverse and forward splits and changes of domicile.

Ms. Anthony is an approved PAL and OTC Markets Advisor with OTC Markets Group, the creator and author of SecuritiesLawBlog.com, the security industry’s leading source for news and information, included in the ABA Journal’s “10th Annual Blawg 100,” the producer and host of LawCast.com™, The Securities Law Network, and a contributing blogger for The Huffington Post. Attorney Laura Anthony is recognized by Martindale-Hubbel as one of America’s Most Honored Professionals and the recipient of the Martindale-Hubbel Distinguished® Rating.

Ms. Anthony is a member of various professional organizations including the Crowdfunding Professional Association (CfPA), Palm Beach County Bar Association, the Florida Bar Association, the American Bar Association and the ABA committees on Federal Securities Regulations and Private Equity and Venture Capital. She is a supporter of several community and charities including the Cystic Fibrosis Foundation, Opportunity, Inc., New Hope Charities, the Society of the Four Arts, the Norton Museum of Art, Palm Beach County Zoo Society, and Kravis Center for the Performing Arts. She is also a financial and hands-on supporter of Palm Beach Day Academy, one of Palm Beach’s oldest and most respected educational institutions.

 

Education

Florida State University College of Law

Juris Doctor (J.D.)

Other

Publications

Securities Law Blog

Ms. Anthony is an approved PAL and OTC Markets Advisor with OTC Markets Group, the creator and author of SecuritiesLawBlog.com, the security industry’s leading source for news and information, included in the ABA Journal’s “10th Annual Blawg 100,” the producer and host of LawCast.com™, The Securities Law Network, and a contributing blogger for The Huffington Post. Attorney Laura Anthony is recognized by Martindale-Hubbel as one of America’s Most Honored Professionals and the recipient of the Martindale-Hubbel Distinguished® Rating.

LawCast

Ms. Anthony is an approved PAL and OTC Markets Advisor with OTC Markets Group, the creator and author of SecuritiesLawBlog.com, the security industry’s leading source for news and information, included in the ABA Journal’s “10th Annual Blawg 100,” the producer and host of LawCast.com™, The Securities Law Network, and a contributing blogger for The Huffington Post. Attorney Laura Anthony is recognized by Martindale-Hubbel as one of America’s Most Honored Professionals and the recipient of the Martindale-Hubbel Distinguished® Rating.

Volunteer

Board Member

American Red Cross
January - January

Cystic Fibrosis Foundation
January - January

Opportunity, Inc.
January - January

New Hope Charities
January - January

Society of the Four Arts
January - January

Norton Museum of Art
January - January

Palm Beach County Zoo Society
January - January

Kravis Center for the Performing Arts
January - January

9/10/2018 5:07:28 PM,
Laura Anthony replied:

Generally, the underwriter has the ability to purchase additional registered shares from the Company.  For example, assume the Company registers 1 mil shares and an additional 150,000 overallotment.  The underwriter could just oversell the offering at the beginning and take down the entire 1,150,000 on day one.  The underwriter could take down the initial 1 mil on day one and then if the price is going up and the offering has interest, it could keep selling even though it doesn't techically own the 150,000 yet (technically going short) and then cover the short position by buying direct from the company at the IPO price.  The overallotment helps the underwriter continue to stablize the price of the stock, post closing.