Accessing North American Markets in Current Regulatory Environment

WEST PALM BEACH, Fla., Jan. 14, 2021 /PRNewswire/ — Securities laws that regulate small and micro-cap companies as well as the brokerage and clearing firms they work with, have changed dramatically over the past several years. The topics are numerous, the answers are complex, and reliable clarification is always needed so that compliance can be maintained. 

In order to address these complex issues, securities attorney Laura Anthony moderated a recent SNN webinar produced by Mr. Robert Kraft, CEO of Stock News Now.

Ms. Anthony is the founding partner of Anthony L.G., PLLC and has been practicing securities law since 1993. Since founding the firm in 2001, Ms. Anthony has seen many OTC Markets companies struggle to gain the respect of investors, potential shareholders and the Securities & Exchange Commission.

Ms. Anthony’s panel consisted of individuals highly suited to expound on the long, hard road traversed by these companies. Panel members included Peter Goldstein, Chief Executive Officer at Exchange Listing, LLC, and Chris King, Senior Vice President at OTC Markets Group.

Mr. Goldstein launched his career as an entrepreneur over 30 years ago and has served as an investment banker, director, chief executive officer, and consultant to public, private and emerging companies within the United States and international markets since 1996. Mr. Goldstein has actively participated in initial public offerings (IPO’s), private placements and crowdfunding by effectively raising funds for companies in the diverse industries where his strengths in M&A, strategic planning and transaction structuring were utilized.

Mr. King has written numerous financial industry articles addressing the specific challenges faced by OTC companies. He is considered to be an authority in his field and continues to design innovative strategies small and micro-cap companies can implement to foster confidence and respect in the public marketplace.

Industry sentiment seems to have shifted in favor of OTC companies, and there now exists a strong possibility that brighter days are on the near horizon.

Ms. Anthony explained, “Recently – even in the past year – there is a positive shift and I can see that the OTC Markets is and will be globally respected venture market. Part of this newfound respect stems from the complete overhaul of the 15c2-11 process – which is the process by which a brokerage firm can quote an OTC Markets company’s stock, and in which a company obtains a ticker symbol to begin its life as a public company on the OTC Markets.” 

The webinar can be viewed in its entirety HERE.

Attorney Laura Anthony

Laura Anthony, Esq. is the founding partner of Anthony, L.G., PLLC, a national corporate, securities and business transactions law firm. For more than two decades Ms. Anthony has focused her law practice on small and mid-cap private and public companies, capital markets, NASDAQ, NYSE American, the OTC markets, going public transactions, mergers and acquisitions, registered public and exempt private offerings and corporate finance transactions, Regulation A/A+, securities token offerings, Exchange Act and other regulatory reporting requirements, FINRA requirements, state and federal securities laws, general corporate law and complex business transactions. The Anthony, L.G. PLLC team has represented issuers, buyers, sellers, underwriters, placement agents, investors, and shareholders in mergers, acquisitions and corporate finance transactions valued in excess of $1 billion. ALG has represented in excess of 200 companies in reverse merger, initial public offering and direct public offering transactions. Palm Beach Attorney Laura Anthony is also the creator and author of, the host of LawCast™, Corporate Finance in Focus and a contributor to The Huffington Post and Law360.  


Laura Anthony, Esq.
Founding Partner
Anthony, L.G., PLLC 
[email protected]  

SOURCE Anthony, L.G., PLLC

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