Securities Law and Going Public Blog

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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

Form S-1 Registration, Filing and Requirements, Form S-1 and Going Public Lawyers

Form S-1 provides flexibility in going public transactions. It allows the issuer to register shares during the going public process on behalf…

Silicon Valley IT Administrator Charged in Insider Trading Ring

Janardhan Nellore, a 42 year old IT administrator, has been charged with using confidential earnings information, along with his friends, to trade…

Accredited Investors and, Regulation D Rule 506(c) – Going Public Attorneys

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

Senator Elizabeth Warren Hopes to Crack Down on Shell Companies

On December 17, 2019, Senator Warren published a post on Medium entitled "My Plan to Fight Global Financial Corruption". In it she…

Telefonaktiebolaget LM Ericsson Charged with FCPA Violations

Swedish multinational corporation Telefonaktiebolaget LM Ericsson, better known as simply “Ericsson”, was charged by the Securities and Exchange Commission (SEC) “with engaging…

SEC Actions & Administrative Proceedings

Most public companies realize that the Securities and Exchange Commission (the “SEC”) is a law enforcement agency. Receiving an SEC subpoena is a…

Nanotech Engineering, Michael James Sweaney, David Sweaney, and Jeffery Gange Charged by SEC

Nanotech Engineering Inc., a solar panel company based in California, has allegedly defrauded over 100 investors, and the SEC has obtained a…

Tim Leissner Banned for Life by SEC Due to FCPA Violations

Tim Leissner, former head of Asian Investment with Goldman Sachs, has been permanently banned from the securities industry by the Securities and…

What Is a Secondary Registration Statement?

Going public transactions can be structured a variety of ways. Many going public transactions involve the filing of a secondary registration statement with the…

The Role of The Going Public Attorney – Securities Lawyer 101

The role of the going public attorney is one of the most important in the going public process. The going public attorneys at Hamilton &…

U.S. Rep Christopher Collins Pleads Guilty to Insider Trading

Christopher Collins, the first member of Congress to endorse Donald Trump for President, pleaded guilty to insider trading along with his son,…

William Smith and Palm Beach Atlantic Financial Group Charged by SEC

On December 11, 2019, Palm Beach Atlantic Financial Group, LLC and its managing member and sole owner, William A. Smith, were charged…

SEC: Crypto Founder Used ICO Funds for Dating and Rent

Eran Eyal was charged by the SEC this week for selling unregistered securities and improperly using the funds that he raised. Through…

Two Class Action Lawsuits Filed Against CBD Brands

In our previous blog post, we wrote about the FDA’s recent releases detailing how they were unwilling to label CBD as a…

FDA Warns that CBD “has the potential to harm you”

The FDA released a statement this week detailing how it has warned fifteen different companies for illegally selling products containing cannibidiol (CBD),…

FINRA Rule 6490 – FINRA Compliance and Rule 6490 Lawyers

Though FINRA’s principal mandate is to regulate broker-dealers, historically it has always exercised some oversight of the over-the-counter markets including all tiers…

SEC Charges Rishi Shah, Shradha Agarwal, Brad Purdy, Ashik Desai,and Outcome Health

On November 25, 2019, the Securities and Exchange Commission amended a complaint to charge four former executives of Outcome Health, a…

Non-Traditional IPO: Direct Listing Process (DLP)

A new type of IPO has gained prevalence recently, as big tech companies such as Slack and Spotify have decided to take…

Knightsbridge Private Partners Accused of Selling Fake Shares of Stock

Knightsbridge Private Partners, a New York firm, has been accused of making over $2 million from October 2018 to January 2019 by…

Supreme Court Adds Securities Law Case against Charles Liu and Xin Wang to Merits Docket

The Supreme Court this week agreed to hear the case of Liu vs. Securities and Exchange Commission. The issue at hand is “Whether…

SEC Invites Outsiders to Submit Proposals for Secondary Market

Seeking to improve the secondary market structure for “thinly traded securities”, the SEC has outsourced the creative process to anyone involved in…

Regulation A + l Rule 506 l Form S-1 Comparison

Rule 506 and Regulation A provide smaller companies with a flexible alternative to raising capital and going public in connection with direct…

USDA Releases Draft of Interim Final Rule on Hempmaking

On December 20, 2018, the 2018 Farm Bill was signed into law by the federal government. The 2018 Farm Bill “requires USDA…

Regulation A Direct Listing: Regulation A Tier 2 Requirements

An increasing number of small companies seeking public company status are using Tier 2 of Regulation A in their going public transaction. …

Recent Court Dissent Shows Progress for Marijuana Companies

Currently, although many states have legalized marijuana, it is still illegal to sell the drug under federal law. Because of this, under…

Does Regulation A+ Allow Testing the Waters?

Issuers utilizing Regulation A+ are permitted to “test the waters” with potential purchaser and use solicitation materials both before and after the…

Finra Investigates BNP Paribas

On October 24, 2019, the Financial Industry Regulatory Authority (FINRA) announced a settled enforcement action involving BNP Paribas Securities Corp. and BNP…

What is Corporate Hijacking?

Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a decade. Corporate hijackings…

Does Offering Integration Apply in a Regulation A Offering?

The Regulation A + offering integration rules prevent companies from improperly avoiding the SEC’s registration statement requirements by dividing a single securities offering into multiple…

Regulation A+ For Publicly Traded Reporting Companies

Benefits of Regulation A+ Amendments On December 19, 2018, the Securities and Exchange Commission (the “SEC”) adopted amendments to Regulation A informally referred…

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/