Florida Broker-Dealer Registration Exemption For M&A Brokers
Following the SEC’s lead, effective July 1, 2016, Florida has passed a statutory exemption from the broker-dealer registration requi...
Home Archive by Category "Broker-Dealer" (Page 2)
Broker-Dealer
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Gunjumping Restrictions On Communications Related To IPOs
”Gunjumping” is the dissemination of information regarding the Issuer before a complete prospectus has been filed with the Securitie...
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Market Makers Rely on Due Diligence in Reverse Mergers
Learn how to quickly and effectively complete the due diligence process for reverse mergers. Florida securities attorney Laura Antho...
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Private Capital Market Places – A Second Look
Last week I wrote a blog introducing, at least to me, Private Company Market Places (PCMP). A PCMP is a trading platform, such as S...
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Private Capital Marketplace – A First Look
As I discussed in a recent blog, the attraction of the small cap and reverse merger market has diminished greatly in the past two ye...
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SEC Approves Revision to FINRA Rule Regarding Broker Dealer FINRA Filing Requirements for Private Placement Offerings
On June 7, 2012 the SEC granted accelerated approval to a FINRA rule change regarding broker dealer FINRA filing requirements for ac...
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