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Home Archive by Category "Section 3(a)(9)"

Section 3(a)(9)

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Section 3(a)(10)Section 3(a)(9)Section 5 The Howey Test The Reves Test Uncategorized

What Is A Security? The Howey Test And Reves Test

Laura Anthony, Esq.

November 25, 2014

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Broker Dealer Registration Requirements Broker-Dealer Rule 506 Section 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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Public Shell Company Rule 144 Section 3(a)(9)Uncategorized

Understanding Section 3(a)(9) Exchanges and Conversions as Related to Convertible Promissory Notes

Laura Anthony, Esq.

March 4, 2014

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Rule 144 Rule 144 Legal Opinions Rule 144 Opinion Letters Rule 144A Section 3(a)(9)Securities Attorneys

A Basic Overview of Rule 144

Laura Anthony, Esq.

February 11, 2014

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Regulation D Regulation S Reverse Mergers Rule 144 Section 3(a)(9)Section 5

Overview of Recognized Exemptions From Section 5

Laura Anthony, Esq.

January 8, 2010

The Securities Act of 1933 recognizes two broad types of exemptions to the registration requirements of Section 5, exempt securities...

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