Broker Dealer Registration RequirementsBroker-DealerCABFINRAFINRA ComplianceUncategorized FINRA Proposes New Category Of Broker-Dealer For “Capital Acquisition Brokers” Laura Anthony, Esq.January 26, 2016 037500
Finder's FeesFINRAFINRA ComplianceSECSEC GuidanceSecurities AttorneyUncategorized SEC Advisory Committee Recommendations Related To Finders Laura Anthony, Esq.November 24, 2015 035000
Broker Dealer Registration RequirementsBroker-DealerFinder's FeesUncategorizedWhite Paper Finders- The Facts Related To Broker-Dealer Registration Requirements Laura Anthony, Esq.August 25, 2015 01K00
Direct Public Offering (DPO)DTC ChillDTC EligibilityFINRAForm S-1Going PublicGoing Public AttorneysIPOLawCast NetworkNASDAQNASDAQ Listing RequirementsNYSE MKTNYSE MKT Listing RequirementsOTC MarketOTC Markets Listing RequirementsReverse MergersRule 144SECUncategorized Going Public Transactions For Smaller Companies: Direct Public Offering And Reverse Merger Laura Anthony, Esq.June 30, 2015 068200
FINRAJOBS ACTPrivate Investment in Public Equity (PIPE)SECSmall Cap MarketUncategorized SEC Has Approved A Two-Year Tick Size Pilot Program For Smaller Public Companies Laura Anthony, Esq.June 16, 2015 034100
SECSmall Cap MarketUncategorized SEC Congressional Testimony – Part 3 Laura Anthony, Esq.May 26, 2015 032000
Broker Dealer Registration RequirementsBroker-DealerFINRASECSmall Cap MarketUncategorized SEC Proposes Broadening Of Broker-Dealer Registration Rules To Include Proprietary And High-Frequency Traders Laura Anthony, Esq.May 12, 2015 041100
IPONASAASmall Cap MarketUncategorized SEC Advisory Committee On Small And Emerging Companies Explores Venture Exchanges, Private And Secondary Securities Trading and The NASAA Coordinated Review Program- Part I Laura Anthony, Esq.May 5, 2015 034700
Broker-DealerFINRAUncategorized The New FINRA Broker Background Check Rule Laura Anthony, Esq.March 24, 2015 July 13, 2017 054900
FINRAFINRA ComplianceReverse SplitRule 10b-17Rule 6490Uncategorized SEC Supports FINRA’s Rule 6490 Authority Over Corporate Actions Laura Anthony, Esq.March 10, 2015 01.2K00
