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Home Archive by Category "FINRA"

FINRA

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FINRA NASDAQ NASDAQ Listing Requirements NYSE MKT NYSE MKT Listing Requirements Uncategorized

NASDAQ Listing Requirements

Laura Anthony, Esq.

April 26, 2016 September 6, 2016

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Broker Dealer Registration Requirements Broker-Dealer Emerging Growth Company (EGC)Finder's Fees FINRA FINRA Compliance FINRA Rules Form 1-A M&A Brokers Smaller Reporting Company

The Payment Of Finders’ Fees- An Ongoing Discussion

Laura Anthony, Esq.

July 5, 2017

Introduction As a recurring topic, I discuss exemptions to the broker-dealer registration requirements for entities and individuals...

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All rights reserved. Anthony L.G., PLLC

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Laura Anthony, Esq.
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