November 2012 Archives - Going Public Lawyers

Removing the Advertising Ban in Rule 506 Offerings

Securities Lawyer 101 Blog Rule 506(c) of Regulation D, enacted under the Jumpstart Our Business Startups Act (the “JOBS Act”) is intended to help smaller and emerging growth companies raise capital in the U.S. capital markets. The JOBS Act… Read More

How Did the JOBS Act Change Mandatory Exchange Act Registration?

Securities Lawyer 101 Blog On April 5, 2012, President Obama signed the Jumpstart Our Business Startups Act (the “JOBS Act”), which is intended to help smaller and emerging growth companies access the U.S. capital markets. The JOBS Act… Read More

OTC Markets OTC Pink Disclosure Obligations

Securities Lawyer 101 Blog  OTC Markets Group operates the world’s largest electronic inter-dealer quotation system. Broker-dealers use it to trade unlisted securities. OTC Markets assigns issuers to one of three tiers based upon the level of disclosure provided. The OTC Pink is… Read More

Rule 12b-25 Q & A l Securities Lawyer 101

Securities Lawyer 101 Blog Accelerated filers, non-accelerated filers and smaller reporting companies occasionally have difficulty meeting the Securities and Exchange Commission’s (“SEC”) reporting due dates. Rule 12b-25 adopted by the SEC under the Securities Exchange Act of 1934,… Read More

Equity Crowdfunding 101- Going Public Lawyers

Securities Lawyer 101 Blog On April 5, 2012, President Obama signed the Jumpstart Our Business Startups Act (the “JOBS Act”), which is intended to help smaller and emerging growth companies access the U.S. capital markets. The JOBS Act… Read More

BP to Pay $525 Million to SEC – Securities Lawyer 101 – Go Public Blog

Securities Lawyer 101 Blog On November 15, 2012, the Securities and Exchange Commission charged BP p.l.c. with misleading investors by significantly understating the flow rate while its Deepwater Horizon oil rig was gushing into the Gulf of Mexico in 2010…. Read More

FINRA Issues Crowdfunding Rules

Securities Lawyer 101 Blog The Financial Industry Regulatory Authority (“FINRA”) has issued a voluntary form for prospective crowdfunding portals under the Jumpstart Our Business Startups Act (“JOBS Act”), signed in April 2012 by President Obama. Anyone who intends to… Read More

Securities Exchange Act Registration Statements

Securities Lawyer 101 Blog All public companies whose securities are registered on a national securities exchange, and generally issuers  whose assets exceed $10,000,000 with a class of equity securities held by 500 or more persons, must register their… Read More

SEC Tips l Ask Securities Lawyer 101

Securities Lawyer 101 Blog The Securities and Exchange Commission (“SEC”) frequently receives tips from whistlblowers. SEC tips from whistleblowers are provided in a variety of ways. The SEC tips are primarily received through the SEC’s online TCR form located at  http://www.sec.gov/complaint.shtml … Read More