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Home Archive by Category "FINRA" (Page 4)

FINRA

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FINRA Form 10 Form 8-K Form S-1 JOBS ACT Public Shell Company Rule 144 S-1 Registration Statement SEC Rule 15c2-11 Securities Attorneys

SEC Files Proceedings Against 19 S-1 Companies and Suspends Trading on 255 Shell Companies

Laura Anthony, Esq.

February 4, 2014

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Broker-Dealer Direct Public Offering (DPO)Due Diligence FINRA Form 10 Funding Portals Going Public Going Public Attorneys Merger Transaction NASDAQ OTC Market OTCBB OTCQB and OTCQX Private Investment in Public Equity (PIPE)Public Shell Company Reverse Mergers Rule 144 S-1 Registration Statement SEC Rule 15c2-11 Securities Attorneys Uncategorized

Direct Public Offering or Reverse Merger; Know Your Best Option for Going Public

Laura Anthony, Esq.

January 21, 2014

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823

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Crowdfunding FINRA Form C Funding Portals JOBS ACT JOBS ACT and Crowdfunding Securities Attorneys

Proposed Crowdfunding Rules – Part III

Laura Anthony, Esq.

December 10, 2013

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315

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Crowdfunding FINRA Form C Funding Portals JOBS ACT JOBS ACT and Crowdfunding Securities Attorneys

Proposed Crowdfunding Rules – Part II

Laura Anthony, Esq.

December 3, 2013

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335

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Crowdfunding FINRA Form C Funding Portals JOBS ACT JOBS ACT and Crowdfunding Rule 506 Section 4(a)(6)Securities Attorneys

Proposed Crowdfunding Rules – Part I

Laura Anthony, Esq.

November 19, 2013

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379

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Blank Check Companies FINRA Form 10 Form 8-K Public Shell Company Rule 144 Rule 419 S-1 Registration Statement SEC Guidance Securities Attorneys

SEC has Modified Policies on Offerings by Shell Companies

Laura Anthony, Esq.

October 1, 2013

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535

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15c2-11 Application Crowdfunding FINRA Funding Portals Intrastate Offering JOBS ACT and Crowdfunding Rule 147 SEC Rule 15c2-11 Section 3(a)(11)

State Crowdfunding Using Intrastate Offerings and Rule 147

Laura Anthony, Esq.

September 10, 2013

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511

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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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Crowdfunding FINRA Form D JOBS ACT JOBS ACT and Crowdfunding Regulation S Rule 144 Rule 144A Rule 506 Securities Attorneys

New SEC Rules Have Eliminated the Prohibition Against General Solicitation and Advertising in Rules 506 and 144A Offerings

Laura Anthony, Esq.

July 16, 2013

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385

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15c2-11 Application FINRA OTC Market S-1 Registration Statement SEC Rule 15c2-11 Securities Attorneys

SEC Suspends Trading On 61 Shell Companies

Laura Anthony, Esq.

June 3, 2013

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371

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All rights reserved. Anthony L.G., PLLC

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