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Home Archive by Category "Securities Attorneys" (Page 3)

Securities Attorneys

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Broker Dealer Registration Requirements Broker-Dealer Going Public JOBS ACT JOBS ACT and Crowdfunding Rule 144 Rule 506 Section 12 Securities Attorneys Uncategorized

The SEC Establishes Key Exemption to the Broker-Dealer Registration Requirements for M&A Brokers

Laura Anthony, Esq.

February 18, 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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457

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FINRA Form 10 Form 8-K Form S-1 JOBS ACT Public Shell Company Rule 144 S-1 Registration Statement SEC Rule 15c2-11 Securities Attorneys

SEC Files Proceedings Against 19 S-1 Companies and Suspends Trading on 255 Shell Companies

Laura Anthony, Esq.

February 4, 2014

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461

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Depository Trust Company (DTC)DTC Chill DTC Eligibility DTC Global Locks Form 10 Global Lock Rule 144 Securities Attorneys White Paper

DTC Has Published Proposed Rules Related To Chills and Locks

Laura Anthony, Esq.

January 28, 2014

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392

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Broker-Dealer Direct Public Offering (DPO)Due Diligence FINRA Form 10 Funding Portals Going Public Going Public Attorneys Merger Transaction NASDAQ OTC Market OTCBB OTCQB and OTCQX Private Investment in Public Equity (PIPE)Public Shell Company Reverse Mergers Rule 144 S-1 Registration Statement SEC Rule 15c2-11 Securities Attorneys Uncategorized

Direct Public Offering or Reverse Merger; Know Your Best Option for Going Public

Laura Anthony, Esq.

January 21, 2014

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823

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Crowdfunding Form C Funding Portals JOBS ACT JOBS ACT and Crowdfunding PCAOB Auditing SEC Guidance Securities Attorneys

Proposed Crowdfunding Rules – Part IV

Laura Anthony, Esq.

January 14, 2014

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426

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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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789

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Bad Actor Rules Bad Actors Dodd-Frank Act Rule 506 SEC Guidance Securities Attorneys Uncategorized

SEC Guidance on Rules Disqualifying Bad Actors from Participating in Rule 506 Offerings

Laura Anthony, Esq.

December 17, 2013

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391

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Crowdfunding FINRA Form C Funding Portals JOBS ACT JOBS ACT and Crowdfunding Securities Attorneys

Proposed Crowdfunding Rules – Part III

Laura Anthony, Esq.

December 10, 2013

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315

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Crowdfunding FINRA Form C Funding Portals JOBS ACT JOBS ACT and Crowdfunding Securities Attorneys

Proposed Crowdfunding Rules – Part II

Laura Anthony, Esq.

December 3, 2013

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Home
LawCasts
Laura Anthony, Esq.
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