Search for: "Mark B. Koogler" Results 1 - 8 of 8
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Can you afford the risk of not having a captive insurance company?
5 Jun 2014, 3:00 am by Mark B. Koogler
By Mark B. [read post]
Federal Securities Law Blog - http://www.fedseclaw.com/
FINRA invites comment on rules that will govern limited corporate financing brokers
7 Mar 2014, 7:47 am by Mark B. Koogler
By Mark B. [read post]
Federal Securities Law Blog - http://www.fedseclaw.com/
FINRA adopts rule to permit sharing of transaction based compensation to unregistered persons
25 Mar 2015, 7:51 am by Mark B. Koogler
By Mark B. [read post]
Federal Securities Law Blog - http://www.fedseclaw.com/
Bill governing M&A brokers should resurface in 2015
29 Dec 2014, 7:05 am by Mark B. Koogler
By Mark B. [read post]
Federal Securities Law Blog - http://www.fedseclaw.com/
Once again, House takes up bill governing M&A brokers
9 Feb 2015, 9:43 am by Mark B. Koogler
By Mark B. [read post]
Federal Securities Law Blog - http://www.fedseclaw.com/
Comment by Feb. 16 on proposed uniform state model rule for M&A brokers
20 Jan 2015, 6:00 am by Mark B. Koogler
By Mark B. [read post]
Federal Securities Law Blog - http://www.fedseclaw.com/
How to avoid registration under the Investment Company Act of 1940
13 Mar 2018, 7:18 am by Mark Koogler
By Mark Koogler One of the worse situations a company may face to be determined to be an investment company under the Investment Company Act of 1940, as amended (the act). [read post]
Federal Securities Law Blog - http://www.fedseclaw.com/
How to avoid registration under the Investment Company Act of 1940
13 Mar 2018, 7:18 am by Mark Koogler
By Mark Koogler One of the worse situations a company may face to be determined to be an investment company under the Investment Company Act of 1940, as amended (the act). [read post]
Federal Securities Law Blog - http://www.fedseclaw.com/