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Home Posts Tagged "FINRA" (Page 2)

Tag: FINRA

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Broker-Dealer Crowdfunding FINRA Funding Portals JOBS ACT JOBS ACT and Crowdfunding Section 304 Securities Attorneys

FINRA Seeks Public Comment in Advance of Crowdfunding Rulemaking

Laura Anthony, Esq.

July 10, 2012

The Financial Industry Regulatory Authority (FINRA) has requested public comment and input in advance of preparing and publishing pr...

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FINRA FINRA Compliance OTC Market OTCBB OTCQB OTCQB and OTCQX OTCQX Pinksheets Uncategorized

FINRA Seeks to Eliminate the OTCBB and Impose Regulations on the OTC Markets

Laura Anthony, Esq.

October 28, 2014

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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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Dodd-Frank Act FINRA Rule 144 SEC Securities Attorney Securities Attorneys The FAST Act Uncategorized

House Passes More Securities Legislation

Laura Anthony, Esq.

March 15, 2016

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Crowdfunding FINRA Funding Portals JOBS ACT JOBS ACT and Crowdfunding Rule 506

Implementation Of The Elimination Of The Prohibition Against Advertising For Private Accredited Investor Offerings And The Crowdfunding Act, Continues To Be Delayed

Laura Anthony, Esq.

February 27, 2013

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FINRA JOBS ACT JOBS ACT and Crowdfunding Private Placement Rule 506 Securities Attorneys

New FINRA Rule 5123 Takes Effect Requiring Notice of Private Placements by Member Firms

Laura Anthony, Esq.

December 5, 2012

The Financial Industry Regulatory Authority has adopted new Rule 5123 requiring members to file notice of their participation in pri...

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15c2-11 Application Broker Dealer Registration Requirements FINRA FINRA Compliance FINRA Rules OTC Market OTC Markets Listing Requirements OTC Pink OTC Pink Listing Requirements OTCQB OTCQB Listing Requirements OTCQX OTCQX Listing Requirements

OTC Markets Issues Comment Letters On FINRA Rules 6432 And 5250; The 15c2-11 Rules

Laura Anthony, Esq.

March 20, 2018

January 8, 2018, OTC Markets Group, Inc. (“OTC Markets”) submitted a comment letter to FINRA related to FINRA Rule 6432. Rule 6432...

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IPO NASAA Small Cap Market Uncategorized

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

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Finder's Fees FINRA FINRA Compliance SEC SEC Guidance Securities Attorney Uncategorized

SEC Advisory Committee Recommendations Related To Finders

Laura Anthony, Esq.

November 24, 2015

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SEC Small Cap Market Uncategorized

SEC Congressional Testimony – Part 3

Laura Anthony, Esq.

May 26, 2015

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All rights reserved. Anthony L.G., PLLC

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