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LEGAL TERMS DIRECTORY
A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | Q | R | S | T | U | V | W | X | Y | Z Equity Trader Category of registration both for market makers, agency traders, and proprietary traders in Nasdaq® and other OTC market equity or convertible debt securities and for supervisors of those activities. Does not include traders who primarily execute orders for a registered investment company. Equity traders must pass the test for limited representative-equity trader (Series 55) and, in addition, either Series 7 or Series 62. Welcome to our Legal Directory
Legal & Compliance, LLC is a national corporate and securities law firm that focuses on the specific needs of OTCBB and Bulletin Board Companies. Focus areas include but are not limited to:
Legal & Compliance, LLC 330 Clematis Street, Ste. 217 West Palm Beach, FL 33401 Phone: 800-341-2684 Local: 561-514-0936 Fax: 561-514-0832 E-mail: LauraAnthonyPA@aol.com www.PublicCompanyCompliance.com |