Uncategorized FINRA Granted Oversight Of OTC Markets In The 211 Process Laura Anthony, Esq.September 18, 2021 Clearly not completely pleased with the power bestowed on OTC Markets as part of the amended Rule 15c2-11, on June 9, 2021, FINRA fi... 048200
Uncategorized Finders – Part 3 Laura Anthony, Esq.March 19, 2021 Following the SEC’s proposed conditional exemption for finders (see HERE), I’ve been writing a series of blogs on the topic of finde... 080200
Uncategorized Finders – Part 2 Laura Anthony, Esq.January 15, 2021 Following the SEC’s proposed conditional exemption for finders (see HERE), the topic of finders has been front and center. New York... 045900
Blue Sky LawsBroker Dealer Registration RequirementsBroker-DealerFlorida Corporate StatutesMergers And AcquisitionsOTC MarketOTC PinkOTCQBOTCQXSECUncategorized Florida Broker-Dealer Registration Exemption For M&A Brokers Laura Anthony, Esq.October 25, 2016 October 25, 2016 Following the SEC’s lead, effective July 1, 2016, Florida has passed a statutory exemption from the broker-dealer registration requi... 01.5K00
Broker Dealer Registration RequirementsBroker-DealerCABFINRAFINRA ComplianceUncategorized FINRA Proposes New Category Of Broker-Dealer For “Capital Acquisition Brokers” Laura Anthony, Esq.January 26, 2016 030100
Broker Dealer Registration RequirementsBroker-DealerFinder's FeesUncategorizedWhite Paper Finders- The Facts Related To Broker-Dealer Registration Requirements Laura Anthony, Esq.August 25, 2015 089000
Form DJOBS ACTNASAARegulation ARegulation A+Regulation DRule 144Uncategorized First Issuer Completes NASAA Coordinated Review For Regulation A Offering Laura Anthony, Esq.December 30, 2014 032500
FINRAFINRA ComplianceOTC MarketOTCBBOTCQBOTCQB and OTCQXOTCQXPinksheetsUncategorized FINRA Seeks to Eliminate the OTCBB and Impose Regulations on the OTC Markets Laura Anthony, Esq.October 28, 2014 032300
FINRARule 5100Rule 5121Uncategorized FINRA Amends Rules 5110 and 5121 Related to Corporate Financing and Conflicts Of Interest Laura Anthony, Esq.June 3, 2014 054200
FINRAForm 10-KForm 10-QOTC MarketOTCBBOTCQBOTCQB and OTCQXUncategorized Filing Deadlines for Exchange Act Quarterly and Annual Reports Laura Anthony, Esq.June 1, 2011 Companies subject to the reporting requirements of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) are required... 01.6K00