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Home 2014 (Page 3)

Year: 2014

59 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

Broker-Dealer Penny Stocks Schedule 15G Uncategorized

Penny Stock Rules And Broker Dealers

Laura Anthony, Esq.

November 4, 2014

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Penny Stocks Risk Alert Rule 144 Section 4(a)(4)Section 5 Uncategorized

Depositing Penny Stocks with Brokers Creates Obstacles; SEC Charges E*Trade with Section 5 Violation

Laura Anthony, Esq.

October 14, 2014

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FINRA Rule 5100 Rule 5121 Uncategorized

FINRA Amends Rules 5110 and 5121 Related to Corporate Financing and Conflicts Of Interest

Laura Anthony, Esq.

June 3, 2014

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Private: [ID: _OHSBRxcJys] Youtube Automatic

Watch LaterAdded 06:39

Securities Law Firm

OTC Bulletin Board

October 21, 2014 April 10, 2022

OTC Bulletin Board- New Quotation Changes on OTCQB. OTC Markets has unveiled changes to be quoted on the OTCQB, which changes become...

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Broker Dealer Registration Requirements Broker-Dealer Going Public JOBS ACT JOBS ACT and Crowdfunding Rule 144 Rule 506 Section 12 Securities Attorneys Uncategorized

The SEC Establishes Key Exemption to the Broker-Dealer Registration Requirements for M&A Brokers

Laura Anthony, Esq.

February 18, 2014

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Private: [ID: -E1_UArdaew] Youtube Automatic

Watch LaterAdded 13:51

Securities Law Firm

E*Trade Capital Markets Violation.

November 6, 2014 April 10, 2022

Securities LawCast©- Legal & Compliance, LLC- E*Trade Capital Markets Violation. E*Trade Capital Markets Violation. On October 9...

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Articles of Incorporation CUSIP Number OTC Market SEC Proxy Rules SEC Schedule 14A Section 14 Shareholder Proposals Small Cap Market

Completing A Name Change Without Shareholder Approval

Laura Anthony, Esq.

July 22, 2014

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Blank Check Companies Direct Public Offering (DPO)Form 10 Form S-1 OTC Market Public Shell Company Rule 144 Rule 419 S-1 Registration Statement SEC Guidance Small Cap Market Uncategorized

Direct Public Offerings by Shell Companies- Tread Carefully

Laura Anthony, Esq.

July 29, 2014

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C&DI Corporate Law Regulation FD Rule 134 SEC Guidance Small Cap Market Uncategorized

SEC Issues New Guidance on Use of Twitter and Other Social Media Communications

Laura Anthony, Esq.

April 29, 2014

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897

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Form 8-K OTCBB Rule 144 Section 15(d)Section 3(a)(10)Small Cap Market Uncategorized

The Sale of Unregistered Securities Must Satisfy Form 8-K Filing Requirements In a 3(a)(10) Transaction

Laura Anthony, Esq.

August 5, 2014

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860

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Laura Anthony, Esq.
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