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Home Archive by Category "FINRA" (Page 7)

FINRA

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CUSIP Number Depository Trust Company (DTC)DTC Eligibility FINRA Form 10 LEI Number Rule 144 Uncategorized

What is A CUSIP and Legal Entity Identifier (LEI) Number?

Laura Anthony, Esq.

May 27, 2014

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15c2-11 Application DTC Chill DTC Eligibility FINRA Form 10 Going Public Private Placement Rule 144 Rule 419 SEC Rule 15c2-11 Small Cap Market

Why Rule 419 Companies May Revitalize the Small-Cap Market

Laura Anthony, Esq.

November 16, 2011

Are Rule 419 Companies poised to be the next big thing in the small-cap sector? Recently, the small-cap and reverse merger market...

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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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