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

Will Going Public Help Me Raise Capital? Going Public Attorneys

Going public is frequently used as a stepping stone by companies seeking to raise capital.

What Is Required In a Form S-1 Registration Statement?

Securities Lawyer 101 Form S-1 registration statements are the most commonly used registration statement form. It allows issuers to register various types…

SEC Adopts Rule 163B to Allow All Issuers to “Test-the-Waters”

The SEC has just adopted Securities Act Rule 163B, which will allow all issuers to “gauge market interest in a possible initial…

What is a Form 8-A Registration Statement? Securities Lawyer 101

Form 8-A is a shortened type of securities registration statement under the Securities Exchange Act that registers a class of an issuer’s…

Selling Stockholder Disclosures in Form S-1 Registration Statements

Form S-1 requires the registrant to provide specific selling stockholder disclosures. These selling stockholder disclosure requirements in Form S-1 are set forth…

The First SEC-Qualified Token Offering Raises $23M

Muneeb Ali, the founder of Blockstack PBC, released a blog post this week reporting that his company has raised $23 million in…

Shell Shocked – FBI Uses Receivership Shell In Sting

The Securities and Exchange Commission (“SEC”), the U.S. Attorney for the District of Massachusetts, and the Federal Bureau of Investigation have announced…

SEC Questions Starbucks’ Accounting Policies

Starbucks’ stock fell today after news broke that the Securities and Exchange Commission sent a letter questioning the way that Starbucks recognizes…

Form 8-A and Form 10 Registration Statements – Securities Lawyer 101

Form 10 and 8-A can be used to register both debt and equity securities. Upon effectiveness, the issuer becomes subject to SEC…

Leading Vaping Company Juul Warned About its Practices

According to CNBC, the FDA has slammed vaping company Juul for illegal marketing practices and is threatening fines and seizures against the…

Infamous Former Pharma CEO Martin Shkreli Sues Investor from Prison

Martin Shkreli, who gained infamy in 2015 for buying the drug Daraprim, an antiparasite that costs pennies to make, and raising its…

Public Company SEC Reporting Requirements – Form S-1 Disclosures

Once the SEC staff declares your company’s Securities Act registration statement on Form S-1 effective, the public company becomes subject to the…

When Private Placements Go Public – Rule 506-c Attorneys

Rule 506 of Regulation D of the Securities Act of 1933 provides a private placement exemption from federal securities registration which is increasingly…

Accredited Investor Status Under Rule 506(c) l Securities Lawyer 101

Rule 506(c) is the most commonly used exemption of the Regulation D of the Securities Act. Rule 506(c) allows the issuer to…

SEC Charges ICO Rating with Failing to Disclose it was Paid to Tout Digital Assets

The Russian entity ICO Rating is an online presence that shares information about ICOs (initial coin offerings), which have grown alongside the…

What is a Private Placement Memorandum? Rule 506 Attorneys

A private placement memorandum (“PPM”) is also referred to as a confidential offering circular or memorandum. PPM’s are used by private companies …

Smooth Sailing For General Solicitation Under Rule 506(c) – Going Public Lawyers

Rule 506(c) fundamentally changes how private placements will be conducted, by allowing issuers to engage in general solicitation and advertising if they…

What is an Exempt Direct Public Offering? Rule 506(c) Offering Attorneys

An exempt Direct Public Offering can involve a private placement under Rules 506(c) or 504 of Regulation D. The most commonly used…

Securities Offering Exemptions – SEC Concept Release

SEC Concept Release on Harmonization of Securities Offering Exemptions In the wake of the stock market crash of 1929, the public had…

The Emerging Growth Company & Confidential Submission of Draft Registration Statements

Securities Lawyer 101 Blog In order to qualify for many of the benefits created by Title I of the JOBS Act, an…

Penny Stock Scalping 101 – Securities Lawyer 101

Stock scalping refers to the illegal and deceptive practice of recommending that others purchase a security while secretly selling the same security. …

SEC Form D Requirements, Regulation D, Notice of Sales

To file a Form D, the Company must obtain Edgar filer codes. Edgar filer codes are obtained by filing a Form ID…

SEC Form 8-K Current Reports, Filing Requirements l Securities Lawyer 101

Securities Lawyer 101 Blog Private companies going public should be familiar with the requirements of Form 8-K. Once a company completes its…

Form 10-Q Quarterly Reports, Filing Requirements l Going Public Lawyer

Publicly traded companies with a class of securities registered under Section 12 or subject to Section 15(d) of the Securities Exchange Act…

What is an Accredited Investor? Securities Lawyer 101

Dodd-Frank amended the definition of an “accredited” investor to exclude the value of an investor’s primary residence when determining whether the net…

Form 10 Registration, Form 10 Effective Date – Securities Lawyer 101

Registration Statements on Form 10 ("Form 10") become effective automatically after 60 days. Form 10 registration covers a class of securities under…

S-1 Registration Requirements, Filing Form S-1, S-1 Offering, S-1 Lawyers

S-1 Filing Requirements, Filing Form S-1, S-1 Offering, S-1 Lawyers - The process of going public using Form S-1 must be structured…

Dormant Shell Companies For Reverse Mergers Suspended by the SEC While Delinquent Filers Run Wild

Its object is to render useless and worthless dormant shell companies that might otherwise be hijacked, used in reverse mergers, and ultimately…

Going Public – Regulation A+ – IPO Alternative

Regulation A contains two exemptions with unique requirements and benefits. Regulation A Tier 1 and Tier 2 allow the issuer to raise…

Form F-1 Foreign Issuer Registration Statements and Going Public

SEC Form F-1 is commonly used by foreign issuers in connection with their going public transaction. Typically, foreign companies seeking to raise…

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/