January 2013 Archives - Going Public Lawyers

Boca Raton Attorney William J. Reilly Indicted For Securities Fraud

Securities Lawyer 101 Blog Lawyers Gone Wild Series On October 24, 2012, Boca Raton securities lawyer William J. Reilly was arrested by the FBI for allegedly engaging in a scheme to fraudulently sell stock in a company called Caribbean… Read More

The JOBS Act l Equity Crowdfunding Limbo

Securities Lawyer 101 Blog The Jumpstart Our Business Startups (“JOBS”) Act was signed into law by President Obama on April 5, 2012. The JOBS Act  requires the Securities and Exchange Commission (the “SEC”) to issue final regulations regarding… Read More

What Are Form 8-K Disclosures? Going Public Lawyer

Securities Lawyer 101 Blog Private companies seeking to go public should be aware that once their S-1 or other registration statement is declared effective by the SEC, the company will be required to publicly file on the SEC’s EDGAR database annual… Read More

NYSE and NASDAQ Compensation Committee Proposals

Securities Lawyer 101 Blog On January 17, 2013, the Securities and Exchange Commission (the “SEC”) approved proposals by the New York Stock Exchange (“NYSE”) and the NASDAQ Stock Market (“NASDAQ”) regarding compensation committee and compensation adviser independence, as… Read More

SEC Comments 101 – Going Public Lawyers

Private companies seeking to go public are often unaware of the SEC comment process.  The SEC comment process applies to registration statements filed by companies who go public using an initial public offering (“IPO”) as well as to companies conducting a direct… Read More

How Can I List My Company on NASDAQ?

Securities Lawyer 101 Blog Private companies that go public often attempt to list on a national securities exchange.  One of these, the NASDAQ Stock Market (“NASDAQ”) has three distinct tiers for companies considering an exchange listing as part… Read More

OTC Markets Eliminate Quarterly Legal Opinions For OTC Pink Sheets

Securities Lawyer 101 Blog On January 3, 2013, OTC Markets revised its disclosure requirements for issuers quoted on OTC Markets’ “OTC Pink Current Information” tier. As set forth in our January 4, 2013 blog post, these revisions reduced the… Read More

Spam 101 l Securities Lawyer 101 Blog

Securities Lawyer 101 Blog Spam is unsolicited information–usually cast in the form of an advertisement–that is sent to a large number of recipients electronically.  Spam may take the form of an email or a series of message board postings. The… Read More

SEC Seeks Order For Section 3(a)(10) Action

Securities Lawyer 101 Blog On December 23, 2013, the Securities and Exchange Commission (“SEC”) entered into a proposed settlement of a pending civil action against Advanced Cell Technology, Inc. (“Advanced Cell”), arising out of Advanced Cell’s issuance of hundreds of millions of… Read More

OTC Markets Increases Disclosures By OTC Pink Issuers

Securities Lawyer 101 Blog On January 3, 2013, the OTC Markets revised its disclosure requirements for issuers quoted with an OTC Markets “OTC Pink Current” tier. These revisions increase current events disclosures for a laundry list of corporate events… Read More