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Home Posts Tagged "Section 3(a)(39)"

Tag: Section 3(a)(39)

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Broker-DealerJOBS ACT and CrowdfundingRule 506Section 3(a)(39)Uncategorized

Case Study of Online Funding as Related to Broker-Dealer Exemptions

Laura Anthony, Esq.
July 7, 2014
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Broker Dealer Registration RequirementsBroker-DealerGoing PublicJOBS ACTJOBS ACT and CrowdfundingRule 144Rule 506Section 12Securities AttorneysUncategorized

The SEC Establishes Key Exemption to the Broker-Dealer Registration Requirements for M&A Brokers

Laura Anthony, Esq.
February 18, 2014
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854
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All rights reserved. Anthony L.G., PLLC

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