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Home 2014 May

Month: May 2014

4 Posts
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ALL A B C D E F G H I J K L M N O P Q R S T U V W X Y Z
CUSIP NumberDepository Trust Company (DTC)DTC EligibilityFINRAForm 10LEI NumberRule 144Uncategorized

What is A CUSIP and Legal Entity Identifier (LEI) Number?

Laura Anthony, Esq.
May 27, 2014
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2.1K
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Broker Dealer Registration RequirementsBroker-DealerRule 506Section 3(a)(39)Section 3(a)(9)Uncategorized

Exemption to Broker-Dealer Registration Requirements for Officers, Directors and Key Employees

Laura Anthony, Esq.
May 20, 2014
0
1.8K
0
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Depository Trust Company (DTC)DTC ChillDTC EligibilityDTC Global LocksGlobal LockRule 144Rule 144ASecurities AttorneysUncategorized

Once Again, DTC Amends Proposed Procedures for Issuers Affected by Chills and Proposes Subsequent Rule Change

Laura Anthony, Esq.
May 13, 2014
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543
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Dodd-Frank ActForm 8-KJOBS ACTProxy StatementSEC Schedule 14ASmall Cap MarketSmaller Reporting CompanyUncategorized

Say-On-Pay for Smaller Reporting Companies

Laura Anthony, Esq.
May 6, 2014
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672
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0
All rights reserved. Anthony L.G., PLLC

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