Blue Sky LawsBroker Dealer Registration RequirementsBroker-DealerFlorida Corporate StatutesMergers And AcquisitionsOTC MarketOTC PinkOTCQBOTCQXSECUncategorized Florida Broker-Dealer Registration Exemption For M&A Brokers Laura Anthony, Esq.October 25, 2016 October 25, 2016 Following the SEC’s lead, effective July 1, 2016, Florida has passed a statutory exemption from the broker-dealer registration requi... 01.5K00
SECSecurities AttorneySecurities Attorneys SEC Announces Enforcement Results For Fiscal Year-End 2016 Laura Anthony, Esq.October 18, 2016 October 18, 2016 On October 11, 2016, the SEC announced its enforcement results for fiscal year-end September 30, 2016 (FYE 2016). In FYE 2016 the S... 020300
14c Information StatementNASDAQProxy StatementSEC NASDAQ Requires Disclosure Of Third-Party Director Compensation Laura Anthony, Esq.October 11, 2016 October 11, 2016 On July 1, 2016, the SEC approved NASDAQ’s new rule requiring listed companies to publicly disclose compensation or other payments b... 031400
Watch LaterAdded 04:37 Securities Law Firm The Pre-Filing Period of Testing The Waters October 4, 2016 April 10, 2022 The Pre-Filing Period of Testing The Waters- The pre-filing period is that time frame between the decision to proceed with a public... 01K80
Dodd-Frank Act House Continues To Push For Reduced Securities Regulation Laura Anthony, Esq.October 4, 2016 House Appropriations Bill The House continues its busy activity of passing legislation designed to reduce securities and market regu... 021900
Watch LaterAdded 04:39 Securities Law Firm Testing The Waters When Conducting An Offering Using Form S-1 October 3, 2016 April 10, 2022 Testing The Waters When Conducting An Offering Using Form S-1- Today is the continuation in a LawCast series detailing testing the w... 01.1K100