- You are not logged in!
  Login | Create new account

Home Posts Tagged "M&A Brokers"

Tag: M&A Brokers

2 Posts

Sort by: Latest

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...

0

2.2K

0

0

Blue Sky Laws Broker Dealer Registration Requirements Broker-Dealer Florida Corporate Statutes Mergers And Acquisitions OTC Market OTC Pink OTCQB OTCQX SEC Uncategorized

Florida Broker-Dealer Registration Exemption For M&A Brokers

Laura Anthony, Esq.

October 25, 2016 October 25, 2016

Following the SEC’s lead, effective July 1, 2016, Florida has passed a statutory exemption from the broker-dealer registration requi...

0

1.9K

0

0