Broker Dealer Registration RequirementsBroker-DealerSection 3(a)(39)Section 5 SEC Sanctions BITCOIN Exchange Operator-A Case Study In Basic Registration And Exemption Requirements Laura Anthony, Esq.December 16, 2014 048900
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 045800
Broker-DealerJOBS ACTJOBS ACT and CrowdfundingRegulation DRule 506SEC GuidanceSecurities AttorneysVenture Capital SEC Issues Guidance Regarding The Exemption From Broker-Dealer Registration In Title II Of The JOBS Act Laura Anthony, Esq.March 12, 2013 037200