Broker-DealerJOBS ACT and CrowdfundingRule 506Section 3(a)(39)Uncategorized Case Study of Online Funding as Related to Broker-Dealer Exemptions Laura Anthony, Esq.July 7, 2014 042600
Broker Dealer Registration RequirementsBroker-DealerRule 506Section 3(a)(39)Section 3(a)(9)Uncategorized Exemption to Broker-Dealer Registration Requirements for Officers, Directors and Key Employees Laura Anthony, Esq.May 20, 2014 01.3K00
Broker Dealer Registration RequirementsBroker-DealerGoing PublicJOBS ACTJOBS ACT and CrowdfundingRule 144Rule 506Section 12Securities AttorneysUncategorized The SEC Establishes Key Exemption to the Broker-Dealer Registration Requirements for M&A Brokers Laura Anthony, Esq.February 18, 2014 071200
Bad Actor RulesBad ActorsDodd-Frank ActRule 506SEC GuidanceSecurities AttorneysUncategorized SEC Guidance on Rules Disqualifying Bad Actors from Participating in Rule 506 Offerings Laura Anthony, Esq.December 17, 2013 039100
CrowdfundingFINRAForm CFunding PortalsJOBS ACTJOBS ACT and CrowdfundingRule 506Section 4(a)(6)Securities Attorneys Proposed Crowdfunding Rules – Part I Laura Anthony, Esq.November 19, 2013 037700
Form DJOBS ACTJOBS ACT and CrowdfundingRegulation DRule 144Rule 156Rule 506Securities Attorneys OTC Markets Comments on Proposed SEC Rules Regarding Amendments to Regulation D, Form D and Rule 156 Laura Anthony, Esq.October 15, 2013 036300
Broker Dealer Registration RequirementsBroker-DealerDodd-Frank ActFINRAJOBS ACTJOBS ACT and CrowdfundingRegulation DRule 144ARule 506SEC GuidanceSecurities 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 030900
Form DPrivate PlacementRegulation DRule 156Rule 506SEC GuidanceSecurities Attorneys The SEC has Issued Proposed Rules Amending Regulation D, Form D and Rule 156 – Part II Laura Anthony, Esq.August 27, 2013 049400
Form DRegulation DRule 156Rule 506SEC GuidanceSecurities AttorneysUncategorized The SEC has Issued Proposed Rules Amending Regulation D, Form D and Rule 156 – Part I Laura Anthony, Esq.August 20, 2013 034200
Dodd-Frank ActJOBS ACTRule 506Securities Attorneys An Overview of Exemptions for Hedge Fund Advisors: Exemptions for Advisors to Venture Capital Funds, Private Fund Advisers with Less Than $150 Million in Assets Under Management, and Foreign Private Advisers – Part III Laura Anthony, Esq.August 7, 2013 036200
