Direct Public Offering (DPO)DTC ChillDTC EligibilityFINRAForm S-1Going PublicGoing Public AttorneysIPOLawCast NetworkNASDAQNASDAQ Listing RequirementsNYSE MKTNYSE MKT Listing RequirementsOTC MarketOTC Markets Listing RequirementsReverse MergersRule 144SECUncategorized Going Public Transactions For Smaller Companies: Direct Public Offering And Reverse Merger Laura Anthony, Esq.June 30, 2015 066000
FINRAJOBS ACTPrivate Investment in Public Equity (PIPE)SECSmall Cap MarketUncategorized SEC Has Approved A Two-Year Tick Size Pilot Program For Smaller Public Companies Laura Anthony, Esq.June 16, 2015 030400
Broker Dealer Registration RequirementsBroker-DealerFINRASECSmall Cap MarketUncategorized SEC Proposes Broadening Of Broker-Dealer Registration Rules To Include Proprietary And High-Frequency Traders Laura Anthony, Esq.May 12, 2015 037700
Broker-DealerFINRAUncategorized The New FINRA Broker Background Check Rule Laura Anthony, Esq.March 24, 2015 July 13, 2017 052600
FINRAFINRA ComplianceReverse SplitRule 10b-17Rule 6490Uncategorized SEC Supports FINRA’s Rule 6490 Authority Over Corporate Actions Laura Anthony, Esq.March 10, 2015 01.2K00
FINRAFINRA ComplianceOTC MarketOTCBBOTCQBOTCQB and OTCQXOTCQXPinksheetsUncategorized FINRA Seeks to Eliminate the OTCBB and Impose Regulations on the OTC Markets Laura Anthony, Esq.October 28, 2014 041100
FINRAFINRA ComplianceOTC MarketReverse SplitRule 10b-17Small Cap MarketUncategorized The ECOS Matter; When Is A Reverse Split Effective? Laura Anthony, Esq.September 30, 2014 042500
FINRARule 5100Rule 5121Uncategorized FINRA Amends Rules 5110 and 5121 Related to Corporate Financing and Conflicts Of Interest Laura Anthony, Esq.June 3, 2014 066700
CUSIP NumberDepository Trust Company (DTC)DTC EligibilityFINRAForm 10LEI NumberRule 144Uncategorized What is A CUSIP and Legal Entity Identifier (LEI) Number? Laura Anthony, Esq.May 27, 2014 01.7K00
CrowdfundingFINRAIntrastate OfferingJOBS ACTJOBS ACT and CrowdfundingRule 144Rule 147SEC Rule 15c2-11Securities Attorneys Crowdfunding Using Intrastate Offerings and Rule 147 – Is Florida Next? Laura Anthony, Esq.March 11, 2014 035200
