Due DiligenceFINRAFINRA Compliance FinCEN Updates Due Diligence Rules Laura Anthony, Esq.September 6, 2016 On May 11, 2016, the Financial Crimes Enforcement Network (“FinCEN”) issued new final rules under the Bank Secrecy Act requiring fin... 050000
Broker Dealer Registration RequirementsBroker-DealerCABFINRAFINRA ComplianceUncategorized FINRA Proposes New Category Of Broker-Dealer For “Capital Acquisition Brokers” Laura Anthony, Esq.January 26, 2016 030100
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
Watch LaterAdded 04:22 Securities Law Firm Form 1-A Filing September 19, 2016 April 10, 2022 LawCast; Attorney Laura Anthony Talks Form 1-A Filing- In a Regulation A+ offering, companies can use “test-the-waters” solicitation... 01.2K70