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Home 2014 September

Month: September 2014

5 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
FINRAFINRA ComplianceOTC MarketReverse SplitRule 10b-17Small Cap MarketUncategorized

The ECOS Matter; When Is A Reverse Split Effective?

Laura Anthony, Esq.
September 30, 2014
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540
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Regulation MRegulation SHORule 144Uncategorized

SEC Filed Actions Against 19 Firms and One Individual Trader for Violation of Rule 105 of Regulation M

Laura Anthony, Esq.
September 23, 2014
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844
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0
Going PublicInsider TradingSchedule 13DSchedule 13GSection 13Section 16Uncategorized

SEC Files Dozens of Charges for Violations of the Section 16 and Section 13 Corporate Insider Reporting Requirements

Laura Anthony, Esq.
September 15, 2014
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681
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0
DAD/PALOTC MarketOTC Markets Listing RequirementsOTC PinkOTC Pink Listing RequirementsOTCBBOTCQBOTCQB and OTCQXOTCQB Listing RequirementsOTCQXOTCQX Listing RequirementsSection 12Uncategorized

OTCQX Listing and Quotation Eligibility and Requirements for International Companies

Laura Anthony, Esq.
September 8, 2014
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568
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0
Regulation FDRegulation S-KRule 10b-18Uncategorized

Public Company and Affiliate Stock Buyback Rules; Rule 10b-18

Laura Anthony, Esq.
September 2, 2014
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676
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0
All rights reserved. Anthony L.G., PLLC

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