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.
Submission status is only the beginning After a company-related action request is submitted, FINRA may assign a case number or provide electronic…
Read MoreFee categories under Rule 6490 FINRA Rule 6490 identifies specific fees for processing certain corporate action notifications and related requests. The most…
Read MoreOnce a company decides to go public, what it says — and where, when, and to whom it says it — comes…
Read MoreQuick answer: what can an issuer say during the IPO quiet period? An issuer can usually continue factual, ordinary-course business communications during…
Read MoreA Practical Guide for Issuers, Boards, Counsel, Transfer Agents and Practitioners Under Amended Nasdaq Rule 5250(e)(7) Current through June 18, 2026. Nasdaq-listed…
Read MoreNasdaq listing analysis often begins with financial standards, bid price, public float, shareholder counts and corporate governance. But those standards cannot be…
Read MoreInternal approval is not the same as a FINRA notice An issuer is generally considered to have provided notification when it submits…
Read MoreManagement’s Discussion and Analysis of Financial Condition and Results of Operations, commonly referred to as MD&A or MDA, is one of the…
Read MoreA Form S-1 registration statement is the central disclosure document used by many companies that want to register securities with the Securities…
Read MoreThe deadline depends on the action FINRA Rule 6490 separates actions into two broad categories. The first category is an SEA Rule…
Read MoreStart with the official rule text Issuers looking for information about FINRA Rule 6490 should begin with the current text of FINRA…
Read MoreWhy Nasdaq compliance matters A Nasdaq listing can be a major milestone for a public company. It can increase market visibility, broaden…
Read MoreWhy Rule 6490 Matters FINRA Rule 6490 is one of the most important rules for public companies whose securities trade over…
Read MoreMarketing an initial public offering is not the same as marketing an ordinary product launch. In a U.S.-registered IPO, every communication about…
Read MoreForm S-1 is the primary registration statement used by issuers under the Securities Act of 1933 to register securities for public sale.…
Read MoreThe Securities and Exchange Commission has rescinded its long-standing SEC no-deny settlement policy, ending a rule that for more than 50 years…
Read MoreCompanies going public using a Form S-1 registration statement often continue to issue equity to officers, directors, employees, and consultants while the…
Read MoreWhy Shareholders Need a Legal Opinion Before Selling Restricted Securities A shareholder may own stock, but that does not always mean the…
Read MoreWhy SEC Resale Opinions Matter A legal opinion can be a critical step in moving restricted or controlled securities from a blocked…
Read MoreA legal opinion is one of the most important documents filed with an SEC registration statement. For issuers conducting registered offerings, the…
Read MoreNasdaq $5 Million Minimum Offering Proceeds Rule: What IPO and OTC Uplisting Companies Need to Know Nasdaq’s initial listing liquidity rules changed…
Read MoreOverview: Nasdaq Raises the Bar for SPAC IPO Listings Nasdaq has adopted enhanced initial listing standards for special purpose acquisition companies, commonly…
Read MoreOn May 5, 2026, the Securities and Exchange Commission proposed rule and form amendments that would allow public companies to satisfy their…
Read MoreBy Securities Lawyer 101 | Securities Lawyers Gone Wild The latest SEC insider trading complaint has many familiar ingredients: confidential merger information,…
Read MoreThe Path from OTC to National Exchange Uplisting from the OTC Markets to Nasdaq or NYSE expands investor access, liquidity, and visibility.…
Read MoreEvery initial public offering (IPO) in the United States relies on a team of financial intermediaries known as underwriters. Underwriters are investment banks that…
Read MoreMany believe going public is limited to Fortune 500 giants. In reality, smaller issuers can access public capital through Direct Public Offerings (DPOs), Regulation…
Read MoreWhat Is a Super 10-K? How Delinquent SEC Filers Request Relief and the Downside of Using One Issuers that fall behind on…
Read MoreFor small and mid-size companies, the costs, dilution, and loss of control associated with a traditional underwritten Initial Public Offering (IPO) can…
Read MoreTransitioning from a private company to a public company involves more than filing a registration statement with the U.S. Securities and…
Read MoreExplore 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.
