Uncategorized FINRA Granted Oversight Of OTC Markets In The 211 Process Laura Anthony, Esq.September 18, 2021 Clearly not completely pleased with the power bestowed on OTC Markets as part of the amended Rule 15c2-11, on June 9, 2021, FINRA fi... 056500
Uncategorized Finders – Part 3 Laura Anthony, Esq.March 19, 2021 Following the SEC’s proposed conditional exemption for finders (see HERE), I’ve been writing a series of blogs on the topic of finde... 089800
Uncategorized Finders – Part 2 Laura Anthony, Esq.January 15, 2021 Following the SEC’s proposed conditional exemption for finders (see HERE), the topic of finders has been front and center. New York... 052300