SEC Files Additional Charges in Fitbit Stock Manipulation Scheme Against Mark Burns And Robert Murray
On July 11, 2018 The Securities and Exchange Commission filed fraud charges against a second defendant in connection with a scheme to…
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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.
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SEC Charges Credit Suisse With FCPA Violations
The Securities and Exchange Commission announced on July 5, 2018 that Credit Suisse Group AG will pay approximately $30 million to resolve SEC charges…
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SEC Charges KBR for Inflating Key Performance Metric and Accounting Controls Deficiencies
On July 2, 2018 The Securities and Exchange Commission charged global engineering and construction company KBR Inc. with inflating a key, non-financial statement performance metric…
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SEC Charges BGC Financial For Failure to Preserve Documents and Maintain Accurate Books and Records
The Securities and Exchange Commission announced on July 17, 2018 that New York-based broker-dealer BGC Financial has agreed to pay a $1.25 million penalty…
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SEC Files Charges Core Performance Management LLC, RMR Asset Management Co in Municipal Bond “Flipping” and Kickback Schemes
The Securities and Exchange Commission charged two firms and 18 individuals in a scheme to improperly divert new issue municipal bonds to…
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SEC Charges Cloud Communications Company and Senior Executives Mark Greenquist And Michael Swade With Misleading Revenue Projections
The Securities and Exchange Commission charged a cloud communications company and two executives with providing misleading quarterly revenue estimates. The company and…
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Foreign Private Issuers NYSE Audit Committee Requirements
The New York Stock Exchange (NYSE) corporate governance standards are contained in Section 303A of the NYSE Listed Company Manual. The NYSE…
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Section 4(a)(2) and Rule 506(b) Exempt Offerings – Securities Lawyer 101
Section 4(a)(2) of the Securities Act of 1933, as amended (the “Securities Act”) exempts Rule 506(b)securities offerings from the SEC’s registration requirements…
Read MoreForeign Private Issuer NYSE Audit Committee Requirements
The New York Stock Exchange (NYSE) corporate governance standards are contained in Section 303A of the NYSE Listed Company Manual. The NYSE…
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SEC Charges U.S. Congressman Christopher Collins and Others With Insider Trading
The Securities and Exchange Commission announced on Aug. 8, 2018 the filing of insider trading charges against Congressman Christopher Collins, the U.S. Representative…
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Regulation A+ Guidebook
Overview of the Regulation A+ Exemption On March 25, 2015, The Securities and Exchange Commission (the “SEC”) adopted final rules to implement…
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What Are the SEC Reporting Requirements After My Form S-1 ls Effective?
Once the SEC staff declares your company’s Securities Act registration statement on Form S-1 effective, the company becomes subject to the SEC’s…
Read MoreSEC Charges William McFarland and Others With $27.4 Million Offering Fraud
The Securities and Exchange Commission announced on July 24, 2018 that New York entrepreneur William Z. (Billy) McFarland, two companies he founded, a former…
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Why Does a Company Go Public? Going Public Attorneys
Going public is a big step for any company. The process of “going public” is complex and at times precarious. While going…
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SEC Charges Howard Appel in Stock Manipulation Scheme
On July 27, 2018 The Securities and Exchange Commission charged Howard Appel with manipulating the stocks of three microcap companies while on…
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Yao Li Settles Insider Trading Charges
On July 24, 2018, the Securities and Exchange Commission (SEC) announced that Yao Li, a senior executive at a Silicon Valley fiber optics…
Read MoreSEC Charges John Paulsen for Aiding & Abetting Pay-To-Play Scheme
On July 26, 2018, the Securities & Exchange Commission (“SEC”) filed a civil injunctive action against John A. Paulsen, a former managing…
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SEC Amends Smaller Reporting Company Definition
The Securities & Exchange Commission (SEC) adopted amendments to its definition of a “Smaller Reporting Company” which increases the number of companies that are allowed…
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OTC Markets OTCQB, OTCQX, OTC Pink Quotation, Listing and Disclosure
Public companies with shares traded on OTC Markets OTC Link® ATS are organized into three unique market places. In part, the trading…
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How to Go Public Using Form S-1 – Going Public Lawyers
Using a Form S-1 Registration Statement to Go Public Private companies that go public commonly use a registration statement (“Registration Statement”) on…
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Regulation A+ 2018 Shelf Offerings
Posted by Brenda Hamilton, Securities Attorney Regulation A also known as Regulation A+ provides an existing exemption from registration for smaller issuers…
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Use of Proceeds In Form S-1 Registration Statements – Form S-1
Companies going public with Form S-1 have several options in how to structure their transaction when registering securities with the Securities and…
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What Is a Private Placement Offering? Securities Lawyer 101
Securities Lawyer 101 Blog The Securities Act of 1933 (the “Securities Act”) provides for a private offering or private placement exemption from federal…
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Form S-1 Summary Information- Securities Attorney 101
Form S-1 is the most commonly used registration statement statement filing with the Securities and Exchange Commission (“SEC”). This blog post addresses the…
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Regulation A +, Going Public Direct and Offering Integration
The Regulation A offering integration rules prevent companies from improperly avoiding registration by dividing a single securities offering into multiple securities offerings to…
Read MoreForm S-1 Risk Factor Disclosures – Securities Lawyer 101
Form S-1 Risk Factor Disclosures l Securities Lawyer 101 The Securities Act of 1933 is often called the “truth in securities” law. …
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What Stock Can Be Registered on Form S-1?
A registration statement on Form S-1 can be used to register various types of securities offerings with the Securities and Exchange Commission (“SEC”). …
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What are SEC Reporting Requirements? SEC Reporting Requirement Compliance
A company becomes subject to SEC reporting requirements by filing a registration statement on Form 10 or Form 8-A under the Securities Exchange…
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Go Public Using Form S-1 – 2018
Go Public Using Form S-1 – 2018 Private companies going public commonly use a registration statement (“Registration Statement”) on Form S-1 under…
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Form S-1 Financial Statement Requirements
Companies that register securities for direct public offering on Form S-1 as part of their going public transaction must provide audited financial statements to the Securities and Exchange…
Read MoreBlogroll & Resources
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/Securities Lawyer 101 Newsletter
https://ppe.securitieslawyer101.com/newsletters/Ask Securities Lawyer 101 Series
https://ppe.securitieslawyer101.com/ask-securitieslawyer101-series/Securities Law Presentations & Videos
https://ppe.securitieslawyer101.com/securities-law-video-series/