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Home Archive by Category "Uncategorized" (Page 8)

Uncategorized

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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

FINRA Rule 5100 Rule 5121 Uncategorized

FINRA Amends Rules 5110 and 5121 Related to Corporate Financing and Conflicts Of Interest

Laura Anthony, Esq.

June 3, 2014

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Form 10 Form 8-K Regulation S-K Regulation S-X SEC Uncategorized

Responding To SEC Comments

Laura Anthony, Esq.

March 29, 2016 September 6, 2016

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Direct Public Offering (DPO)DTC Chill DTC Eligibility FINRA Form S-1 Going Public Going Public Attorneys IPO LawCast Network NASDAQ NASDAQ Listing Requirements NYSE MKT NYSE MKT Listing Requirements OTC Market OTC Markets Listing Requirements Reverse Mergers Rule 144 SEC Uncategorized

Going Public Transactions For Smaller Companies: Direct Public Offering And Reverse Merger

Laura Anthony, Esq.

June 30, 2015

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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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SEC Fall 2020 Regulatory Agenda

Laura Anthony, Esq.

May 21, 2021

The SEC’s latest version of its semiannual regulatory agenda and plans for rulemaking has been published in the federal register. T...

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C&DI Corporate Law Regulation FD Rule 134 SEC Guidance Small Cap Market Uncategorized

SEC Issues New Guidance on Use of Twitter and Other Social Media Communications

Laura Anthony, Esq.

April 29, 2014

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JOBS ACT JOBS ACT and Crowdfunding Regulation D Regulation D Offerings Rule 144A Rule 506 Uncategorized

SEC Issues Guidance On General Solicitation And Advertising In Regulation D Offerings

Laura Anthony, Esq.

September 1, 2015

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Broker-Dealer Penny Stocks Schedule 15G Uncategorized

Penny Stock Rules And Broker Dealers

Laura Anthony, Esq.

November 4, 2014

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ESG – The Disclosure Debate Continues

Laura Anthony, Esq.

July 2, 2021

The ESG debate continues, including within the SEC and amongst other regulators and industry participants. Firmly in support of ESG...

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Regulation SCI SEC Uncategorized

Regulation SCI

Laura Anthony, Esq.

April 12, 2016 September 6, 2016

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All rights reserved. Anthony L.G., PLLC

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Home
LawCasts
Laura Anthony, Esq.
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Disclaimer