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Home Posts Tagged "Broker-Dealers"

Tag: Broker-Dealers

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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 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 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 Uncategorized

SEC Announces Examination Priorities For 2015; Focus On Transfer Agents, Investment Advisers and Broker Dealers

Laura Anthony, Esq.

January 20, 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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15c2-11 Application Due Diligence FINRA OTC Market OTCBB OTCQB OTCQB and OTCQX OTCQX Pinksheets Private Investment in Public Equity (PIPE)S-1 Registration Statement SEC Rule 15c2-11 Securities Attorneys

The OTCQX And OTCQB Are Finally Recognized As “Established Public Markets” By The SEC

Laura Anthony, Esq.

May 29, 2013

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Broker-Dealer Crowdfunding JOBS ACT JOBS ACT and Crowdfunding NASDAQ Regulation D Rule 144 Rule 506

NASDAQ To Acquire Sharepost And Create The NASDAQ Private Exchange

Laura Anthony, Esq.

March 11, 2013

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Broker-Dealer Depository Trust Company (DTC)DTC Chill DTC Eligibility OTC Market OTCBB OTCQB and OTCQX Pinksheets Securities Attorneys

An Update On Dealing With The DTC Following The SEC’s Ruling On International Power Group, Ltd.

Laura Anthony, Esq.

December 6, 2012

Back in October and November of 2011, I wrote a series of blogs regarding DTC eligibility for OTC (over-the-counter) Issuers. OTC I...

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All rights reserved. Anthony L.G., PLLC

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LawCasts
Laura Anthony, Esq.
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