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Home Archive by Category "FINRA Compliance" (Page 2)

FINRA Compliance

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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

FINRA FINRA Compliance OTC Market Reverse Split Rule 10b-17 Small Cap Market Uncategorized

The ECOS Matter; When Is A Reverse Split Effective?

Laura Anthony, Esq.

September 30, 2014

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FINRA FINRA Compliance OTC Market OTCBB OTCQB OTCQB and OTCQX OTCQX Pinksheets Uncategorized

FINRA Seeks to Eliminate the OTCBB and Impose Regulations on the OTC Markets

Laura Anthony, Esq.

October 28, 2014

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FINRA FINRA Compliance FINRA Rules FINRA360

FINRA Proposes Amendments To The Corporate Financing Rules

Laura Anthony, Esq.

June 6, 2017 June 6, 2017

On April 11, 2017, the Financial Industry Regulatory Authority (FINRA) released three regulatory notices requesting comment on rules...

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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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Finder's Fees FINRA FINRA Compliance SEC SEC Guidance Securities Attorney Uncategorized

SEC Advisory Committee Recommendations Related To Finders

Laura Anthony, Esq.

November 24, 2015

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All rights reserved. Anthony L.G., PLLC

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