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Home Archive by Category "Section 3(a)(39)"

Section 3(a)(39)

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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
Form S-1IPOS-1 Registration StatementSection 3(a)(39)Section 4(a)(7)The FAST ActUncategorized

The Fast Act (Fixing American’s Surface Transportation Act)

Laura Anthony, Esq.
December 15, 2015
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116
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Broker Dealer Registration RequirementsBroker-DealerSection 3(a)(39)Section 5

SEC Sanctions BITCOIN Exchange Operator-A Case Study In Basic Registration And Exemption Requirements

Laura Anthony, Esq.
December 16, 2014
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130
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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
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164
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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
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500
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