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Home Archive by Category "Section 5"

Section 5

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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

C&DI Regulation A Regulation A+Rule 144 Rule 701 SEC Section 5

SEC Issues New C&DI On Rule 701

Laura Anthony, Esq.

November 1, 2016

On June 23, 2016, the SEC issued seven new Compliance and Disclosure Interpretations (“C&DI”) related to Rule 701 of the Securit...

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Form S-1 Free Writing Prospectus JOBS ACT Post- Filing Period Pre-Effectiveness Period Pre-Filing Period Regulation A Regulation A+Rule 134 Rule 135 SEC Section 5 Smaller Reporting Company Test The Waters

Testing The Waters; Regulation A+ And S-1 Public Offerings – Part 2

Laura Anthony, Esq.

July 26, 2016

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Broker Dealer Registration Requirements Broker-Dealer Section 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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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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Crowdfunding Intrastate Offering JOBS ACT JOBS ACT and Crowdfunding Rule 147 Section 3(a)(11)Section 4(a)(6)Section 5 Uncategorized

SEC Issues Advertising Guidance Related to State-Specific Crowdfunding

Laura Anthony, Esq.

October 21, 2014

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Penny Stocks Risk Alert Rule 144 Section 4(a)(4)Section 5 Uncategorized

Depositing Penny Stocks with Brokers Creates Obstacles; SEC Charges E*Trade with Section 5 Violation

Laura Anthony, Esq.

October 14, 2014

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Direct Public Offering (DPO)Free Writing Prospectus Gun Jumping IPO JOBS ACT Rule 134 Rule 135 Safe Harbors Section 5 Securities Attorneys Small Cap Market Uncategorized

Corporate Communications During the Public Offering Process; Avoid Gun Jumping

Laura Anthony, Esq.

August 12, 2014

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Direct Public Offering (DPO)Form S-1 Regulation S-K S-1 Registration Statement S-3 Registration Statement Section 5 Securities Attorneys White Paper

The DPO Process Including Form S-1 Registration Statement Requirements

Laura Anthony, Esq.

January 7, 2014

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Form 10 Rule 144 Rule 145 Section 5 Securities Attorneys Spin-Off

How to Complete an Unregistered Spin-Off

Laura Anthony, Esq.

October 22, 2013

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Crowdfunding FINRA Form D Funding Portals JOBS ACT JOBS ACT and Crowdfunding Rule 144 Section 5 White Paper

CROWDFUNDING FROM A TO Z

Laura Anthony, Esq.

October 4, 2012

As the expected deadline for the SEC to publish rules and regulations enacting the Crowdfunding Act (Title III of the Jumpstart Our...

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All rights reserved. Anthony L.G., PLLC

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