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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.
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…
Read MoreThe Securities and Exchange Commission charged two firms and 18 individuals in a scheme to improperly divert new issue municipal bonds to…
Read MoreThe Securities and Exchange Commission charged a cloud communications company and two executives with providing misleading quarterly revenue estimates. The company and…
Read MoreThe New York Stock Exchange (NYSE) corporate governance standards are contained in Section 303A of the NYSE Listed Company Manual. The NYSE…
Read MoreSection 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 MoreThe New York Stock Exchange (NYSE) corporate governance standards are contained in Section 303A of the NYSE Listed Company Manual. The NYSE…
Read MoreThe Securities and Exchange Commission announced on Aug. 8, 2018 the filing of insider trading charges against Congressman Christopher Collins, the U.S. Representative…
Read MoreOverview of the Regulation A+ Exemption On March 25, 2015, The Securities and Exchange Commission (the “SEC”) adopted final rules to implement…
Read MoreOnce 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 MoreThe Securities and Exchange Commission announced on July 24, 2018 that New York entrepreneur William Z. (Billy) McFarland, two companies he founded, a former…
Read MoreGoing public is a big step for any company. The process of “going public” is complex and at times precarious. While going…
Read MoreOn July 27, 2018 The Securities and Exchange Commission charged Howard Appel with manipulating the stocks of three microcap companies while on…
Read MoreOn July 24, 2018, the Securities and Exchange Commission (SEC) announced that Yao Li, a senior executive at a Silicon Valley fiber optics…
Read MoreOn July 26, 2018, the Securities & Exchange Commission (“SEC”) filed a civil injunctive action against John A. Paulsen, a former managing…
Read MoreThe Securities & Exchange Commission (SEC) adopted amendments to its definition of a “Smaller Reporting Company” which increases the number of companies that are allowed…
Read MorePublic companies with shares traded on OTC Markets OTC Link® ATS are organized into three unique market places. In part, the trading…
Read MoreUsing a Form S-1 Registration Statement to Go Public Private companies that go public commonly use a registration statement (“Registration Statement”) on…
Read MorePosted by Brenda Hamilton, Securities Attorney Regulation A also known as Regulation A+ provides an existing exemption from registration for smaller issuers…
Read MoreCompanies going public with Form S-1 have several options in how to structure their transaction when registering securities with the Securities and…
Read MoreSecurities Lawyer 101 Blog The Securities Act of 1933 (the “Securities Act”) provides for a private offering or private placement exemption from federal…
Read MoreForm S-1 is the most commonly used registration statement statement filing with the Securities and Exchange Commission (“SEC”). This blog post addresses the…
Read MoreThe 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 l Securities Lawyer 101 The Securities Act of 1933 is often called the “truth in securities” law. …
Read MoreA registration statement on Form S-1 can be used to register various types of securities offerings with the Securities and Exchange Commission (“SEC”). …
Read MoreA company becomes subject to SEC reporting requirements by filing a registration statement on Form 10 or Form 8-A under the Securities Exchange…
Read MoreGo Public Using Form S-1 – 2018 Private companies going public commonly use a registration statement (“Registration Statement”) on Form S-1 under…
Read MoreCompanies 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 MoreCompanies going public with Form S-1 or Regulation A + have a variety of structures for their transactions. Companies can sell shares in reliance…
Read MoreSupreme Court Addresses SEC ALJ’s On June 21, 2018 The Supreme Court handed down a ruling in Lucia et al. v. Securities…
Read MoreForm S-1 is the most commonly used registration statement form. It allows issuers to register various types of offerings and the form…
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