Broker-Dealer

28 Posts

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For the past two years it had appeared that the OTCBB had been replaced by the OTC Link run OTCQB and the OTCQX.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

410

July 10, 2012

The Financial Industry Regulatory Authority (FINRA) has requested public comment and input in advance of preparing and publishing pr...

340

June 13, 2012

On June 7, 2012 the SEC granted accelerated approval to a FINRA rule change regarding broker dealer FINRA filing requirements for ac...

283

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...

475

December 16, 2011

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...

353

December 9, 2011

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...

344

February 25, 2011

”Gunjumping” is the dissemination of information regarding the Issuer before a complete prospectus has been filed with the Securitie...

611

October 3, 2009

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

403