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Home Archive by Category "Securities Attorneys" (Page 4)

Securities Attorneys

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Form D Private Placement Regulation D Rule 156 Rule 506 SEC Guidance Securities Attorneys

The SEC has Issued Proposed Rules Amending Regulation D, Form D and Rule 156 – Part II

Laura Anthony, Esq.

August 27, 2013

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FINRA JOBS ACT JOBS ACT and Crowdfunding Private Placement Rule 506 Securities Attorneys

New FINRA Rule 5123 Takes Effect Requiring Notice of Private Placements by Member Firms

Laura Anthony, Esq.

December 5, 2012

The Financial Industry Regulatory Authority has adopted new Rule 5123 requiring members to file notice of their participation in pri...

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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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Crowdfunding JOBS ACT JOBS ACT and Crowdfunding Regulation D Reverse Mergers Securities Attorneys Uncategorized

Big Changes Are Coming

Laura Anthony, Esq.

April 16, 2012

I’ve been practicing securities law for 19 years this year (phew!) and for the first time in my career I am excited about changes, b...

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C&DI Clawback Rules SEC Securities Attorney Securities Attorneys Securities Law Firm Uncategorized

SEC Proposed Executive Compensation Clawback Rules

Laura Anthony, Esq.

August 3, 2015

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Depository Trust Company (DTC)DTC Chill DTC Eligibility DTC Global Locks Global Lock Rule 144 Rule 144A Securities Attorneys Uncategorized

Once Again, DTC Amends Proposed Procedures for Issuers Affected by Chills and Proposes Subsequent Rule Change

Laura Anthony, Esq.

May 13, 2014

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Dodd-Frank Act JOBS ACT Rule 506 Securities Attorneys

An Overview of Exemptions for Hedge Fund Advisors: Exemptions for Advisors to Venture Capital Funds, Private Fund Advisers with Less Than $150 Million in Assets Under Management, and Foreign Private Advisers – Part III

Laura Anthony, Esq.

August 7, 2013

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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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Broker-Dealer Finder's Fees Mergers And Acquisitions Securities Attorneys

The ABA Pushes To Allow For The Payment Of Finder’s Fees

Laura Anthony, Esq.

January 3, 2013

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

DTC Unveils Procedures and Plans for a Rule Change that Applies to Issuers Affected By Chills and Locks

Laura Anthony, Esq.

October 8, 2013

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All rights reserved. Anthony L.G., PLLC

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Home
LawCasts
Laura Anthony, Esq.
Securities Law Blogs
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Disclaimer