Securities Law and Going Public Blog

Blog

Insights on securities law, exchange listings, going public, SEC reporting, and market regulation. Stay updated with our latest articles on capital markets compliance, regulatory developments, and strategic guidance for public and private companies.

Latest Blog Posts

What Is a Control Person? Control Securities, Resale Requirements

Sales of restricted securities by affiliates and control persons of publicly traded companies are subject to requirements not applicable to other sellers…

SEC Form 3, Insider Reporting Requirements

Form 3 must be filed within ten (10) calendar days after a person becomes a Section 16 insider. Form 3 is a…

SEC Trading Suspensions Under the Securities Exchange Act

When the SEC issues a trading suspension pursuant to Section 12(k), trading in the security is halted for the period set forth…

SEC Charges Jason C. Nielsen in Manipulative Trading Scheme Involving Covid-19 Claims

The SEC charged Jason C. Nielsen, a penny stock trader in Santa Cruz, California, with conducting a fraudulent pump-and-dump scheme in the…

SEC Enters Final Judgment Against Brandon Copeland, E.B. & Copeland Capital, Inc.

United States District Court for the Northern District of Ohio entered final consent judgments against recidivist investment adviser Brandon E. Copeland and…

SEC Obtains Preliminary Injunction Against Paul Horton Smith, Sr., Northstar Communications, LLC, Planning Services, Inc. and eGate

The United States District Court for the Central District of California entered a preliminary injunction and orders freezing assets and imposing other…

SEC Obtains Judgements Against Stiefel Laboratories and Charles Stiefel

The SEC announced that it has obtained final judgments that will require a former privately held dermatology products manufacturer, Stiefel Laboratories, and…

Is My Toxic Lender and Dilution Funder a Dealer? – SEC Toxic Financing Actions

Dilution Funders have been charged by the SEC as unregistered dealers in violation of the Securities Exchange Act. Justin Keener and his…

SEC Freezes Assets Against Daniel Putnam, Jean Paul Rico, and Angel Rodriguez

On June 5, 2020, the SEC announced an asset freeze against Daniel F. Putnam, of Utah, Jean Paul Ramirez Rico, of Colombia,…

Regulation CF Crowdfunding and SEC Reporting After the Offering

After an issuer completes a Regulation CF crowdfunding offering, it must comply with certain ongoing reporting obligations. Unlike public company SEC reporting…

Rule 504 Offerings – Regulation D Attorneys

Securities offerings under Rule 504 of Regulation D of the Securities Act may prove useful to founders of startup and small companies.

SEC Provides Form S-3 Coronavirus Relief – Securities Lawyer 101

The SEC has provided relief to Form S-3 issuers because of coronavirus. Form S-3 is a short-form registration statement that consists primarily…

Public Company SEC Reporting Requirements -SEC Requirements to Go Public

Public Company SEC Reporting Requirements - SEC Requirements to Go Public, Going Public Attorneys. Companies filing registration statements with the SEC become…

What is a SEC Trading Suspension? Securities Lawyer 101

SEC trading suspensions often leave investors in the dark. While SEC trading suspensions may be intended to prevent investor losses, the opposite…

Expedited Regulation Crowdfunding Offering Rules For Coronavirus Impacted Issuers

The SEC’s Regulation Crowdfunding temporary rules are intended to expedite the crowdfunding offering process for smaller, previously established companies directly or indirectly…

Section 4(a)(7) Resale Exemption – FAST ACT

Section 4(a)(7) provides an exemption for private resales from the SEC’s (“SEC”) registration statement requirements if certain conditions are met. One of…

The Section 4(a)(2) Exemption – Exempt Offerings

Section 4(a)(2) of the Securities Act of 1933, as amended (the “Securities Act”) provides an exemption from the SEC’s registration statement requirements…

Rule 12b-25 Q & A – SEC Reporting Requirements

Form 12b-25 and Rule 12b-25 provide relief for issuers unable to meet SEC reporting requirements on time. Rule 12b-25 grants..

What Is SEC Form 5 – SEC Reporting Requirements- Securities Lawyer 101

Section 16 insiders must file an Annual Statement of Changes in Beneficial Ownership on Form 5 if there are any transactions in…

Form S-1 Selling Shareholders Disclosures – Going Public Lawyers

Securities Lawyer 101 Blog Companies going public have a variety of structures for their transactions. Companies can sell shares in reliance upon…

What Is a Seed Stockholder? Going Public Lawyers

One requirement of a going public transaction is that the issuer obtain sufficient stockholders to establish a trading market. These initial investors…

Regulation A SEC Reporting Requirements After Qualification

My Regulation A Offering Is Qualified. Now What? Once the SEC has qualified a Regulation A Offering Circular on Form 1-A, the…

Why Form 10 Shells Are High Risk – Form 10 Reverse Mergers

Many issuers seeking to raise capital often attempt to go public using a reverse merger with a Form 10 public shell company.…

CAN-SPAM Issuers and Investor Relations – Securities Lawyer 101

If you use email in your business, you should be aware of the requirements of the CAN-SPAM Act ("CAN-SPAM"). Investor relations providers…

Investor Relations, Stock Promotion, and Finfluencers: Securities Law Compliance Risks

Investor relations or stock promotion involves the dissemination of information about a public company and is heavily regulated by the SEC. A…

What SEC Reporting Requirements Apply to a Direct Public Offering?

Exchange Act Reporting After SEC Effectiveness of a Registered Direct Public Offering Upon completion of a registered direct public offering, the…

Rule 506-c Accredited Investor Offerings, Regulation D Securities Lawyers

Rule 506(c) of Regulation D under the Securities Act of 1933, as amended, allows a company to use general solicitation and advertising…

Deadlines for SEC Reporting Requirements Extended Due to COVID-19

On March 25, 2020, the Securities and Exchange Commission (the “SEC”) issued an order (the “SEC Order”) providing extensions to SEC reporting…

What are the Requirements of Regulation CF Crowdfunding?

SECTION 4(A)6 OF THE SECURITIES ACT Section 4(a)(6) of the Securities Act of 1933, as amended (the “Securities Act” is also known…

Regulation A Reporting Obligations – Crowdfunding with Regulation A

Regulation A, also known as Regulation A+, provides investors with more investment choices and issuers with more capital raising options during their…

Explore our curated collection of external resources and industry links that complement our blog content. These hand-picked links provide additional perspectives on securities law, market regulations, and business compliance.

FINRA

https://www.finra.org/

JOBS Act 101

https://www.jobsact101.com/

Go Public 101

https://www.gopublic101.com/

OTC Markets

https://www.otcmarkets.com/

Securities Lawyer 101 Blog

https://ppe.securitieslawyer101.com/blog/

Securities & Exchange Commission

https://www.sec.gov/