Broker Dealer Registration RequirementsBroker-DealerCABFINRAFINRA ComplianceUncategorized FINRA Proposes New Category Of Broker-Dealer For “Capital Acquisition Brokers” Laura Anthony, Esq.January 26, 2016 045900
C&DIJOBS ACTJOBS ACT and CrowdfundingSection 15(d)The FAST ActUncategorized The SEC Issues Guidance On The FAST Act As It Relates To Savings And Loan Companies Laura Anthony, Esq.January 19, 2016 063600
Accredited InvestorsRegulation DRegulation D OfferingsRule 505Rule 506SECSEC Advisory CommitteeUncategorized SEC Issues Report On Accredited Investor Definition Laura Anthony, Esq.January 12, 2016 060500
C&DIMergers And AcquisitionsProxy StatementSEC Proxy RulesShareholder ProposalsSLB 14HUncategorized SEC Guidance On Proxy Presentation Of Certain Matters In The Merger And Acquisition Context Laura Anthony, Esq.January 5, 2016 086600
