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Home Archive by Category "Broker-Dealer" (Page 2)

Broker-Dealer

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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 JOBS ACT and Crowdfunding Rule 506 Section 3(a)(39)Uncategorized

Case Study of Online Funding as Related to Broker-Dealer Exemptions

Laura Anthony, Esq.

July 7, 2014

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Broker Dealer Registration Requirements Broker-Dealer Rule 506 Section 3(a)(39)Section 3(a)(9)Uncategorized

Exemption to Broker-Dealer Registration Requirements for Officers, Directors and Key Employees

Laura Anthony, Esq.

May 20, 2014

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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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Broker-Dealer Direct Public Offering (DPO)Due Diligence FINRA Form 10 Funding Portals Going Public Going Public Attorneys Merger Transaction NASDAQ OTC Market OTCBB OTCQB and OTCQX Private Investment in Public Equity (PIPE)Public Shell Company Reverse Mergers Rule 144 S-1 Registration Statement SEC Rule 15c2-11 Securities Attorneys Uncategorized

Direct Public Offering or Reverse Merger; Know Your Best Option for Going Public

Laura Anthony, Esq.

January 21, 2014

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Broker Dealer Registration Requirements Broker-Dealer Dodd-Frank Act FINRA JOBS ACT JOBS ACT and Crowdfunding Regulation D Rule 144A Rule 506 SEC Guidance Securities Attorneys

Will FINRA Rule Changes Related to Private Placement Further Deter Broker Dealers From Placing the Securities of Small Businesses?

Laura Anthony, Esq.

September 3, 2013

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Broker-Dealer Dodd-Frank Act JOBS ACT JOBS ACT and Crowdfunding Rule 144A Rule 506 S-1 Registration Statement Securities Attorneys

An Overview of Exemptions for Hedge Fund Advisers: Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers with Less Than $150 Million in Assets Under Management, and Foreign Private Advisers – Part I

Laura Anthony, Esq.

May 16, 2013

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Broker-Dealer JOBS ACT JOBS ACT and Crowdfunding Regulation D Rule 506 SEC Guidance Securities Attorneys Venture Capital

SEC Issues Guidance Regarding The Exemption From Broker-Dealer Registration In Title II Of The JOBS Act

Laura Anthony, Esq.

March 12, 2013

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Broker-Dealer Crowdfunding JOBS ACT JOBS ACT and Crowdfunding NASDAQ Regulation D Rule 144 Rule 506

NASDAQ To Acquire Sharepost And Create The NASDAQ Private Exchange

Laura Anthony, Esq.

March 11, 2013

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Broker-Dealer Finder's Fees Mergers And Acquisitions Securities Attorneys

The ABA Pushes To Allow For The Payment Of Finder’s Fees

Laura Anthony, Esq.

January 3, 2013

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Broker-Dealer Depository Trust Company (DTC)DTC Chill DTC Eligibility OTC Market OTCBB OTCQB and OTCQX Pinksheets Securities Attorneys

An Update On Dealing With The DTC Following The SEC’s Ruling On International Power Group, Ltd.

Laura Anthony, Esq.

December 6, 2012

Back in October and November of 2011, I wrote a series of blogs regarding DTC eligibility for OTC (over-the-counter) Issuers. OTC I...

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