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Home Archive by Category "FINRA" (Page 4)

FINRA

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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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Blockchain Blockchain Technology CFTC Cryptocurrencies Distributed Ledger Technology DLT FINRA SEC

Online Platforms Trading Cryptocurrencies; Continued Uncertainty In Crypto Space

Laura Anthony, Esq.

June 5, 2018

I have been writing often about the cryptocurrency marketplace and the SEC and other regulators’ statements and concerns about compl...

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Dodd-Frank Act FINRA Rule 144 SEC Securities Attorney Securities Attorneys The FAST Act Uncategorized

House Passes More Securities Legislation

Laura Anthony, Esq.

March 15, 2016

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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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Broker-Dealer FINRA OTC Market OTCBB OTCQB OTCQB and OTCQX OTCQX Pinksheets Small Cap Market

The OTCBB – Nearly Extinct, OTCQB is the Micro-Cap Reporting Standard

Laura Anthony, Esq.

August 23, 2012

For the past two years it had appeared that the OTCBB had been replaced by the OTC Link run OTCQB and the OTCQX. For all intents and...

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FINRA NASAA Regulation A Regulation A+Regulation C Regulation SHO Regulation T Rule 144 Rule 147 Rule 152 Rule 504

The 2017 SEC Government-Business Forum On Small Business Capital Formation Final Report

Laura Anthony, Esq.

June 12, 2018

The SEC has published the final report and recommendations of the 2017 annual Government-Business Forum on Small Business Capital Fo...

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Broker-Dealer Depository Trust Company (DTC)Due Diligence FINRA Going Public Reverse Mergers SEC Rule 15c2-11

Market Makers Rely on Due Diligence in Reverse Mergers

Laura Anthony, Esq.

October 3, 2009

Learn how to quickly and effectively complete the due diligence process for reverse mergers. Florida securities attorney Laura Antho...

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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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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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Broker Dealer Registration Requirements Broker-Dealer FINRA SEC Small Cap Market Uncategorized

SEC Proposes Broadening Of Broker-Dealer Registration Rules To Include Proprietary And High-Frequency Traders

Laura Anthony, Esq.

May 12, 2015

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All rights reserved. Anthony L.G., PLLC

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