July 2015 Archives - Going Public Lawyers

Regulation A+ Lawyers – Sponsoring Market Maker Attys

  Do I Need A Sponsoring Market Maker To Get A Ticker After My Regulation A+ Offering Is Qualified? Regulation A+’s new rules provide investors with more investment choices and issuers with more capital raising options during their going public… Read More

Oppenheimer Employees Settle Penny Stock Charges

On July 23, 2015, the Securities and Exchange Commission (SEC) announced that three former employees of Oppenheimer & Co. Inc. have agreed to settle charges stemming from the unregistered sales of billions of shares of penny stocks on behalf… Read More

Regulation A+ Primer – Going Public Attorneys

On March 25, 2015, the Securities and Exchange Commission adopted final rules amending Regulation A. The new rules are often referred to as Regulation A+. These rules are designed to facilitate smaller companies’ access to capital.  Regulation A+’s new rules provide investors… Read More

Regulation A+ Attorneys – Avoid Reverse Mergers

How To Use Regulation A+ To Go Public Without A Reverse Merger On March 25, 2015, the Securities and Exchange Commission (the “SEC”) adopted amendments to Regulation A pursuant to the mandate of Section 401(a) of the JOBS Act.  The amended rules known as Amended… Read More

Regulation A+ Adds Two New Bad Actor Disqualification Triggers

The final Regulation A+ rules amend Rule 262 to include bad actor disqualification provisions as adopted under Rule 506(d) of Regulation D.  Consistent with the disqualification provisions of Rule 506(d), the final rules add two additional disqualification triggers… Read More

What are SEC Comments? Going Public Attorneys

Securities offerings are regulated by the Securities Act of 1933, as amended, (the “Securities Act”).  Section 5 of the Securities Act requires that securities offerings be registered with the Securities and Exchange Commission (the “SEC”) or be exempt… Read More

SEC Halts Ponzi Scheme Targeting Spanish and Portuguese Communities

On June 30, 2015, the Securities and Exchange Commission (SEC) announced securities fraud charges and an asset freeze against the operators of a pyramid and Ponzi scheme falsely promising a gold mine of investment opportunity to investors in… Read More

Tweeting Your Regulation A+ Offering – Going Public Attorneys

SEC Provides Guidance For Twitter In Regulation A+ Offerings- Testing the Waters On June 19, 2015, new rules expanding Regulation A became effective.  The expanded rules are commonly known as Regulation A+. The new rules which were promulgated… Read More

A Tale of Two Stings: Amogear and CitySide

Down the Rabbit Hole We Go Last year, the Securities and Exchange Commission and the U.S. Attorney for the District of Massachusetts charged against five individuals whose attempt to manipulate shares of Amogear Inc. was caught in an… Read More

Regulation A CD&I Released- Going Public Attorneys

On June 19, 2015, new rules expanding Regulation A became effective.  The expanded rule is commonly known as Regulation A+. The new rule which was promulgated under the Jumpstart Our Business Startups Act (JOBS Act), permits certain small companies… Read More