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

Regulation A and Crowdfunding Issuers granted SEC Extensions

The SEC recently granted issuers using Regulation A and Regulation Crowdfunding known as Regulation CF have been granted extensions to their SEC…

What is Accredited Investor Verification? Going Public Lawyers

Rule 506(c) verification of accredited investor status is only required where the issuer engages in general solicitation and/or advertising. The SEC provided…

Crowdfunding During Coronavirus – COVID-19 Securities Lawyer 101

Crowdfunding Offerings in the Time of Coronavirus In the past few months, the COVID-19 outbreak has caused quarantines and closures, and has…

Short Sale – Q & A – Short Seller Rules – Regulation SHO Lawyers

A short sale transaction can be part of a legitimate trading strategy if done legally. Illegal Short selling...

The SEC Addresses COVID-19 Disclosure Requirements – Securities Lawyer 101

The SEC Addresses COVID-19 Disclosure Requirements Earlier this month, the Securities and Exchange Commission (the “SEC”) addressed COVID-19 disclosure requirements in…

SBA Offers Small Business Loans in Response to Coronavirus – COVID-19

U.S. Small Business Administration Offers Funding in Response to COVID-19. The Coronavirus Preparedness and Response Supplemental Appropriations Act (the “Act”), passed with…

What Is an Accredited Investor Verification Provider?

Accredited Investor Verification – Accredited Crowdfunding Under Rule 506(c) Accredited investor verification is a critical part of the Rule 506(c) also known…

Short Sale and Short Seller Rules – Regulation SHO Lawyers

Understanding the Games that Issuers and Short Sellers Play When a manipulated stock’s price declines, it has become common practice for penny…

What Is A Form 10 Registration Statement? Form 10 Securities Lawyers

Form 10 shells are used as inventory for reverse merger transactions that take a company from private to public company status.

SEC Reporting After a Form 10 Goes Effective – Form 10 Registration Statements

If a company files a registration statement on Form 10 under Section 12 of the Exchange Act, it becomes an SEC reporting company…

Crowdfunding JOBS Act, Crowdfunding Portals, Platforms and Intermediaries

What You Need to Know About Crowdfunding Portals and Intermediaries The JOBS Act includes provisions to allow crowdfunding intermediaries known as “Crowdfunding Portals”,…

Form S-1 SEC Review Process – S-1 Requirements Going Public

The Division of Corporation Finance of the Securities and Exchange Commission (SEC) reviews filings and provides companies going public with comments on…

Form S-1 Registration Statement Quiet Period – Going Public

Private companies going public should consider Form S-1 filing requirements when contemplating their securities offering. The most commonly used registration statement form…

CBD Oil for Pain: FDA Approves Over-the-Counter Cannabidiol Topical

The FDA recently approved an opioid-free pain-relieving cream from Honest Globe, a plant-based wellness company specializing in alternative health care. This over-the-counter…

FINRA Addresses Digital Securities – Regulatory Notice 19-24

FINRA Encourages Member Firms to Provide Notice of Activities in Digital Securities Last year, FINRA took several steps to engage with its…

SEC Charges Attorney Ben Bunker with Fraudulent Scheme

On January 23, 2020, the Securities and Exchange Commission (SEC) issued a cease and desist order against attorney Ben Bunker (Benjamin L.…

FINRA Sanctions 5 Firms for Failing to Reasonably Supervise Accounts

FINRA, before the New Year 2020, sanctioned five major financial firms who failing to reasonably supervise custodial accounts. These five firms were:…

Confidential Registration Statements Q & A – Going Public Lawyers

The confidential submission of a registration statement on Form S-1 allows a company to keep the registration statement confidential.

Diane Dalmy and Michael Woodford Charged for False Legal Opinions

On March 13, 2019, the Securities and Exchange Commission (SEC) charged attorney Diane Dalmy with fraud for “for concealing from transfer agents…

Guy Scott Griffithe & Robert Russell Charged by SEC in Cannabis Company Scheme

A California man, Guy Scott Griffithe, and a Washington state man, Robert William Russell, were charged on Tuesday, January 21, 2020, by…

SEC Obtains Emergency Asset Freeze Against Kenneth Courtright and TGC

On Wednesday, January 15, 2020, the Chicago Sun Times reported "A federal judge has frozen the assets of Kenneth Courtright, an Illinois…

How Does Offering Integration Impact Reg A Offerings?

Offering integration can become a problem for some issuers conducting Regulation A+ (also known as Reg A) offerings. The Reg A offering integration rules…

Regulation D Rule 504 Securities Offering Requirements and Disclosures

Rule 504 of Regulation D of the Securities Act of 1933, as amended (the “Securities Act”) allows an issuer to raise capital…

SEC Charges Boaz Manor and Blockchain Terminal with Fraudulent ICO

The New York Post reported on Friday, January 17, 2020, “A convicted hedge-fund swindler assumed a fake name and donned a disguise…

Regulation A Testing the Waters – Securities Lawyer 101

Once you publicly file your Form 1-A offering statement, the solicitation materials must be followed by a current preliminary offering circular or…

OTC Markets Policies on Section 17(b) and Stock Promotion

The SEC and Section 17(b) Stock Promotion In the over-the-counter equities market, paid stock promotion has long been of concern to the…

SEC Proposes Improvements to Governance of National Market System

The Securities and Exchange Commission (SEC) wants to improve the regulation surrounding market data plans. They are seeking public comment on a…

SEC Form S-1 Registration Statement Requirements – Going Public

Form S-1 registration statements is the most commonly used registration statement form. Form S-1 permits issuers to register various types of offerings and…

SEC Proposes to Modernize Auditor Independence Rules

On December 30, 2019, just before the start of the new year, the Securities and Exchange Commission (SEC) “announced that it is…

Dead Stock Walking | Dormant Issuers and Reverse Merger Risks

In recent years, the SEC has issued trading suspensions and revoked the registration of numerous publicly traded companies many of which…

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/