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Home Posts Tagged "Broker Dealer"

Tag: Broker Dealer

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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

Broker Dealer Registration Requirements Broker-Dealer Emerging Growth Company (EGC)Finder's Fees FINRA FINRA Compliance FINRA Rules Form 1-A M&A Brokers Smaller Reporting Company

The Payment Of Finders’ Fees- An Ongoing Discussion

Laura Anthony, Esq.

July 5, 2017

Introduction As a recurring topic, I discuss exemptions to the broker-dealer registration requirements for entities and individuals...

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Broker Dealer Registration Requirements Broker-Dealer CAB FINRA FINRA Compliance Uncategorized

FINRA Proposes New Category Of Broker-Dealer For “Capital Acquisition Brokers”

Laura Anthony, Esq.

January 26, 2016

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Broker Dealer Registration Requirements Broker-Dealer Finder's Fees Uncategorized White Paper

Finders- The Facts Related To Broker-Dealer Registration Requirements

Laura Anthony, Esq.

August 25, 2015

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Broker Dealer Registration Requirements Broker-Dealer FINRA SEC Small Cap Market Uncategorized

SEC Proposes Broadening Of Broker-Dealer Registration Rules To Include Proprietary And High-Frequency Traders

Laura Anthony, Esq.

May 12, 2015

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Broker-Dealer FINRA Uncategorized

The New FINRA Broker Background Check Rule

Laura Anthony, Esq.

March 24, 2015 July 13, 2017

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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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Broker Dealer Registration Requirements Broker-Dealer Rule 506 Section 3(a)(39)Section 3(a)(9)Uncategorized

Exemption to Broker-Dealer Registration Requirements for Officers, Directors and Key Employees

Laura Anthony, Esq.

May 20, 2014

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Broker-Dealer JOBS ACT JOBS ACT and Crowdfunding Regulation D Rule 506 SEC Guidance Securities Attorneys Venture Capital

SEC Issues Guidance Regarding The Exemption From Broker-Dealer Registration In Title II Of The JOBS Act

Laura Anthony, Esq.

March 12, 2013

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Crowdfunding Funding Portals JOBS ACT JOBS ACT and Crowdfunding Securities Attorneys

Crowdfunding Requirements For Issuers

Laura Anthony, Esq.

May 23, 2012

On April 5, 2012 President Obama signed the JOBS Act into law. Part of the JOBS Act is the Crowdfunding Act, the full title of which...

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All rights reserved. Anthony L.G., PLLC

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