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Home Archive by Category "Broker-Dealer"

Broker-Dealer

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Broker Dealer Registration Requirements Broker-Dealer Emerging Growth Company (EGC)Finder's Fees FINRA FINRA Compliance FINRA Rules Form 1-A M&A Brokers Smaller Reporting Company

The Payment Of Finders’ Fees- An Ongoing Discussion

Laura Anthony, Esq.

July 5, 2017

Introduction As a recurring topic, I discuss exemptions to the broker-dealer registration requirements for entities and individuals...

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Blue Sky Laws Broker Dealer Registration Requirements Broker-Dealer Florida Corporate Statutes Mergers And Acquisitions OTC Market OTC Pink OTCQB OTCQX SEC Uncategorized

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...

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All rights reserved. Anthony L.G., PLLC

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