Regulation A+ Adds Two New Bad Actor Disqualification Triggers
The final Regulation A+ rules amend Rule 262 to include bad actor disqualification provisions as adopted under Rule 506(d) of Regulation D. …
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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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What are SEC Comments? Going Public Attorneys
Securities offerings are regulated by the Securities Act of 1933, as amended, (the “Securities Act”). Section 5 of the Securities Act requires…
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SEC Halts Ponzi Scheme Targeting Spanish and Portuguese Communities
On June 30, 2015, the Securities and Exchange Commission (SEC) announced securities fraud charges and an asset freeze against the operators of…
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Tweeting Your Regulation A+ Offering – Going Public Attorneys
SEC Provides Guidance For Twitter In Regulation A+ Offerings- Testing the Waters On June 19, 2015, new rules expanding Regulation A became…
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A Tale of Two Stings: The Amogear and CitySide Reverse Merger
Down the Rabbit Hole We Go Last year, the Securities and Exchange Commission and the U.S. Attorney for the District of Massachusetts…
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Regulation A CD&I Released- Going Public Attorneys
On June 19, 2015, new rules expanding Regulation A became effective. The expanded rule is commonly known as Regulation A+. The new…
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Harold BJ Gallison & Others Indicted – Securities Lawyer 101
On July 14,2015, the United States Eastern District of Virginia charged Harold Bailey Gallison aka BJ Gallison, aka Bart Williams (“Gallison”), Michael Randles…
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SEC Suspends Smart Ventures, Inc. (SMVR)
On July 14, 2015, the Securities and Exchange Commission (SEC) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange…
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Trader Who Ate Post-It Notes Settles Insider Trading Case
On July 13, 2015, the Securities and Exchange Commission (SEC) announced a settlement with Frank Tamayo in connection with his SEC cooperation…
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Regulation A+ Pointers For Going Public
An increasing number of issuers seeking to go public are opting for a direct public offering using Regulation A+. The new rule…
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Illinois Court Orders Production of Documents By Navistar in SEC Investigation
On June 30, 2015, United States Magistrate Judge Sidney I. Schenkier issued an order requiring production of certain documents that Navistar…
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SEC Charges Former Stockbroker with Conducting Ponzi Scheme
On July 1, 2015, the Securities and Exchange Commission (SEC) charged a former stockbroker in Pennsylvania with conducting a Ponzi scheme and…
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Form 10 vs Form 8-A Registration Statements
Simultaneously or subsequent to the effectiveness of a registration statement under the Securities Act of 1933, as amended (the “Securities Act”) for an…
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SEC Charges Participants In EB-5 Offering Scheme
On July 6, 2015, the Securities and Exchange Commission (SEC) charged individuals in connection with an EB-5 offering program. According to the…
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SEC Action: Silverleaf Financial and Dwight Shane Baldwin Charged
On June 25, 2015, the Securities and Exchange Commission (SEC) filed a civil injunctive action against Silverleaf Financial, LLC and its…
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Neal Goyal Sentenced to Six Years For Ponzi Scheme
On July 3, 2015, former investment fund manager, Neal Goyal was sentenced to six years in prison for his role in…
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From Congress To The SEC: Get Moving On Crowdfunding
The JOBS Act was signed into law in April 2012. As its full name—the Jumpstart Our Business Startups Act—suggests, its purpose…
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Regulation A+ Forms Published- Securities Lawyer 101
On June 19, 2015, Regulation A+ became effective. The new rule imposes certain filing requirements with the Securities and Exchange Commission…
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Golfer Convicted of Securities Fraud – Going Public Attorney
On June 17, 20-15, a federal jury convicted amateur golfer, Eric McPhail and Douglas Parigian. McPhail was convicted of conspiracy and…
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Exchange Act Registration & Going Public For Foreign Issuers
Foreign companies going public in the United States must file a registration statement covering a class of securities pursuant to the Securities…
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The Laws That Apply To Going Public & Being Public
The first laws that apply to going public transactions are contained in the Securities Act of 1933 (the “Securities Act”). The Securities Act…
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When Can Public Companies Use Social Media? Going Public Lawyers
Securities Lawyer 101 Blog The use of social media is a growing concern with new exemptions that allow issuers to engage in…
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Going Public: Pros and Cons- Going Public Lawyers
A Going Public Lawyer is an important part of the overall going public process. A Going Public Lawyer in the beginning…
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Going Public Attorneys & Drafting Disclosures – Securities Lawyers
A going public attorney is one of the most important participants in the going public process. The going public attorneys at Hamilton & Associates Law Group have…
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Going Public Lawyer- DPO Attorney- Brenda Hamilton
Going public transactions can be structured numerous ways. The going public process is a complicated & intricate procedure, and it is important to…
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Nicholas Lattanzio Charged in Hedge Fund Fraud
On June 10, 2015, the Securities and Exchange Commission announced that it had charged Nicholas Lattanzio, the manager of Black Diamond Capital…
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OTC Markets Prepares For Regulation A+ – Going Public
On March 25, 2015, the Securities and Exchange Commission (“SEC”) adopted amendments to Regulation A. The new rules, known as “Regulation A+,” update…
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The SEC’s Pay Versus Performance Proposals
The proposals require SEC reporting companies to disclose the relationship between compensation “actually paid” to their named executive officers and the company’s…
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Who Can Conduct A Regulation A+ Offering? Going Public
On March 25, 2015, the Securities and Exchange Commission (“SEC”) adopted amendments to Regulation A known as Regulation A+. Regulation A+ was adopted…
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Raising Capital: Equity Offerings v. Debt Offerings
Both private and public companies seeking to raise capital by selling securities, do so by offering either debt or equity securities…
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/