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Home Archive by Category "Dodd-Frank Act" (Page 3)

Dodd-Frank Act

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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

Dodd-Frank Act SEC SEC Guidance SEC Penalties Act

The Acting SEC Chair Has Trimmed Enforcement’s Subpoena Power

Laura Anthony, Esq.

April 4, 2017

In early February 2017, acting SEC Chair Michael Piwowar revoked the subpoena authority from approximately 20 senior SEC enforcement...

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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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All rights reserved. Anthony L.G., PLLC

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Laura Anthony, Esq.
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