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

Broker-Dealer

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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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Broker-Dealer Depository Trust Company (DTC)DTC Chill DTC Eligibility Due Diligence OTCBB OTCQB Reverse Mergers Securities Attorneys

DTC Chills, Due Process and Rule 22

Laura Anthony, Esq.

March 21, 2012

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

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Broker Dealer Registration Requirements Broker-Dealer Section 3(a)(39)Section 5

SEC Sanctions BITCOIN Exchange Operator-A Case Study In Basic Registration And Exemption Requirements

Laura Anthony, Esq.

December 16, 2014

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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 FINRA OTC Market OTCBB OTCQB OTCQB and OTCQX OTCQX Pinksheets Small Cap Market

The OTCBB – Nearly Extinct, OTCQB is the Micro-Cap Reporting Standard

Laura Anthony, Esq.

August 23, 2012

For the past two years it had appeared that the OTCBB had been replaced by the OTC Link run OTCQB and the OTCQX. For all intents and...

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Broker-Dealer Depository Trust Company (DTC)Due Diligence FINRA Going Public Reverse Mergers SEC Rule 15c2-11

Market Makers Rely on Due Diligence in Reverse Mergers

Laura Anthony, Esq.

October 3, 2009

Learn how to quickly and effectively complete the due diligence process for reverse mergers. Florida securities attorney Laura Antho...

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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 Registration Requirements Broker-Dealer FINRA SEC Small Cap Market Uncategorized

SEC Proposes Broadening Of Broker-Dealer Registration Rules To Include Proprietary And High-Frequency Traders

Laura Anthony, Esq.

May 12, 2015

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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 Registration Requirements Broker-Dealer CAB FINRA FINRA Compliance Uncategorized

FINRA Proposes New Category Of Broker-Dealer For “Capital Acquisition Brokers”

Laura Anthony, Esq.

January 26, 2016

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All rights reserved. Anthony L.G., PLLC

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Home
LawCasts
Laura Anthony, Esq.
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Disclaimer