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Home Archive by Category "FINRA" (Page 5)

FINRA

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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

Broker-Dealer Crowdfunding FINRA JOBS ACT Securities Attorneys

SEC Approves Revision to FINRA Rule Regarding Broker Dealer FINRA Filing Requirements for Private Placement Offerings

Laura Anthony, Esq.

June 13, 2012

On June 7, 2012 the SEC granted accelerated approval to a FINRA rule change regarding broker dealer FINRA filing requirements for ac...

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Depository Trust Company (DTC)Dodd-Frank Act FINRA Sarbanes-Oxley Act of 2002 SEC SEC Guidance

SEC Chair Jay Clayton Discusses Direction Of SEC

Laura Anthony, Esq.

August 1, 2017

In a much talked about speech to the Economic Club of New York on July 12, 2017, SEC Chairman Jay Clayton set forth his thoughts on...

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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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FINRA OTC Market OTCBB OTCQB and OTCQX Pinksheets Uncategorized

SEC Grants Accelerated Approval to FINRA Rule Amendment Regarding Minimum Quotation Size Requirements for OTC Equity Securities

Laura Anthony, Esq.

June 19, 2012

On June 15, 2012, the SEC granted accelerated approval to an amendment to FINRA rule 6433 related to the minimum quotation size for...

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Crowdfunding FINRA JOBS ACT JOBS ACT and Crowdfunding Reverse Mergers SEC Guidance Securities Attorneys Uncategorized

SEC Grapples With Crowdfunding Rulemaking

Laura Anthony, Esq.

April 24, 2012

On April 5, 2012 President Obama signed the JOBS Act into law. The SEC’s Rulemaking Duty Some of the rules went into effect immed...

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FINRA JOBS ACT Private Investment in Public Equity (PIPE)SEC Small Cap Market Uncategorized

SEC Has Approved A Two-Year Tick Size Pilot Program For Smaller Public Companies

Laura Anthony, Esq.

June 16, 2015

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SEC Has Approved FINRA’s New Category Of Broker-Dealer For “Capital Acquisition Brokers”

Laura Anthony, Esq.

November 22, 2016

On August 18, 2016, the SEC approved FINRA’s rules implementing a new category of broker-dealer called “Capital Acquisition Brokers”...

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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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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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FINRA FINRA Compliance Reverse Split Rule 10b-17 Rule 6490 Uncategorized

SEC Supports FINRA’s Rule 6490 Authority Over Corporate Actions

Laura Anthony, Esq.

March 10, 2015

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