68
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- Title:
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Form 8-K
- Published:
- Feb 20, 2017, 10:07 CST
- Author:
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Laura Anthony, Esq.
- Type:
- Audio
- Description:
- On September 26, 2016, and again on the 27th, the SEC brought enforcement actions against issuers for the failure to file 8-K’s associated with corporate finance transactions and in particular PIPE...
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- Title:
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M&A Broker- Dealer Requirements
- Published:
- Feb 20, 2017, 10:05 CST
- Author:
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Laura Anthony, Esq.
- Type:
- Audio
- Description:
- Following the SEC’s lead, effective July 1, 2016, Florida passed a statutory exemption from the broker-dealer registration requirements for entities effecting securities transactions in connection...
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- Title:
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Florida Broker-Dealer Registration Exemptions
- Published:
- Feb 20, 2017, 10:02 CST
- Author:
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Laura Anthony, Esq.
- Type:
- Audio
- Description:
- Following the SEC’s lead, effective July 1, 2016, Florida passed a statutory exemption from the broker-dealer registration requirements for entities effecting securities transactions in connection...
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- Title:
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Foreign Private Issuers and ADRs
- Published:
- Feb 20, 2017, 09:53 CST
- Author:
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Laura Anthony, Esq.
- Type:
- Audio
- Description:
- An ADR is a certificate that evidences ownership of American Depository Shares or ADS which, in turn, reflect a specified interest in a foreign company’s shares...
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- Title:
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Foreign Private Issuers
- Published:
- Feb 20, 2017, 09:42 CST
- Author:
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Laura Anthony, Esq.
- Type:
- Audio
- Description:
- Foreign Private Issuers- The determination of foreign private issuer status is not just dependent on the country of domicile, though a U.S. company can never qualify regardless of the location of...
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- Title:
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India – An Emerging Market for U.S. Investors
- Published:
- Feb 20, 2017, 09:35 CST
- Author:
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Laura Anthony, Esq.
- Type:
- Audio
- Description:
- India– India is widely considered the world’s fastest growing major economy. The small and micro-cap industry has been eyeing India as an emerging market for the U.S. public marketplace for several...
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- Title:
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NPR's Here & Now 12/7/15
- Published:
- Jan 19, 2016, 10:27 CST
- Author:
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Mustafa Tameez
- Type:
- Audio
- Description:
- Mustafa discusses strategies to countering ISIS recruitment of Muslim-Americans
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