SEC Financial Statement Disclosure Relief Under Rule 3-13 Laura Anthony, Esq.November 6, 2018 Rule 3-13 of Regulation S-X allows a company to request relief from the SEC from the financial statement disclosure requirements if... 01K00
15c2-11 ApplicationFINRAFINRA ComplianceFINRA RulesOTCBBSEC FINRA Proposes Expansion Of The OTCBB Laura Anthony, Esq.August 29, 2017 In August 2016, FINRA quietly requested comment on a proposal to expand the now largely dormant OTC Bulletin Board quotation service... 039500
Dodd-Frank ActEmerging Growth Company (EGC)SECSmaller Reporting CompanyThe Financial Choice Act 2.0 Financial Choice Act 2.0 Has Made Progress Laura Anthony, Esq.June 13, 2017 June 13, 2017 On June 8, 2017, the U.S. House of Representative passed the Financial Creating Hope and Opportunity for Investors, Consumers and En... 032000
FINRAFINRA ComplianceSEC FINRA Proposes New Registration And Examination Rules Laura Anthony, Esq.May 30, 2017 July 13, 2017 On March 8, 2017, the Financial Industry Regulatory Authority (FINRA) filed a proposed rule change with the SEC to adopt amended reg... 042000
Blue Sky LawsBroker Dealer Registration RequirementsBroker-DealerFlorida Corporate StatutesMergers And AcquisitionsOTC MarketOTC PinkOTCQBOTCQXSECUncategorized Florida Broker-Dealer Registration Exemption For M&A Brokers Laura Anthony, Esq.October 25, 2016 October 25, 2016 Following the SEC’s lead, effective July 1, 2016, Florida has passed a statutory exemption from the broker-dealer registration requi... 01.5K00