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Home Posts Tagged "FINRA" (Page 4)

Tag: FINRA

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Broker-DealerFINRAUncategorized

The New FINRA Broker Background Check Rule

Laura Anthony, Esq.
March 24, 2015 July 13, 2017
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Broker Dealer Registration RequirementsBroker-DealerEmerging Growth Company (EGC)Finder's FeesFINRAFINRA ComplianceFINRA RulesForm 1-AM&A BrokersSmaller 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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CUSIP NumberDepository Trust Company (DTC)DTC EligibilityFINRAForm 10LEI NumberRule 144Uncategorized

What is A CUSIP and Legal Entity Identifier (LEI) Number?

Laura Anthony, Esq.
May 27, 2014
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Broker Dealer Registration RequirementsBroker-DealerDodd-Frank ActFINRAJOBS ACTJOBS ACT and CrowdfundingRegulation DRule 144ARule 506SEC GuidanceSecurities Attorneys

Will FINRA Rule Changes Related to Private Placement Further Deter Broker Dealers From Placing the Securities of Small Businesses?

Laura Anthony, Esq.
September 3, 2013
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