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Regulatory Advocacy:
Comment Letter on Nasdaq’s Proposed Rule Changes for Companies from Restrictive Markets - A letter submitted by Annemarie Tierney to the SEC providing an analysis of three Nasdaq-proposed rule changes related to companies from "restrictive markets" that are seeking access to a Nasdaq public listing.… Read more
Recommendations on Capital Raising, Trading, & Reporting for Small Businesses - As part of the SEC Advisory Committee on Small and Emerging Companies, Annemarie Tierney presented findings from six years of research into the capital markets culminating in a list of recommendations for protecting investors, maintaining fair, orderly, and efficient markets, and facilitating capital formation... Read more
Allowing ALL Shareholders to Benefit from JOBS Act Legislation - A letter submitted by Annemarie Tierney to the SEC in 2015 recommending codifying a federal safe harbor to allow private company shareholders to resell shares without incurring securities violations or costly exercise taxes… Read more
Legislative Proposals to Facilitate Small Business Capital Formation and Job Creation, Part II - In this written testimony to the House Subcommittee on Capital Markets and Government Sponsored Enterprises in 2014, Annemarie Tierney argues for creation of regulatory guidelines to support the facilitation of private company secondary transactions... Read more
Section 5 of the Startup Capital Modernization Act of 2014 - In a letter to the House Committee on Financial Services in 2014, Annemarie argues in support of relaxing rules around “general solicitation” of private company capital raises… Read more