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

States Challenge Regulation A+ – Securities Offerings

The recent amendments to Regulation A (often called Regulation A+) provide a manageable exemption for raising capital. The exemption can be used by…

SEC Freezes Profits From Avon Stock Manipulation Scheme

On June 4, 2015, the Securities and Exchange Commission (SEC) announced an emergency asset freeze of two U.S. brokerage accounts connected to schemes…

What is a Reverse Stock Split? Securities Lawyer 101

Securities Lawyer 101 Blog Reverse stock splits are often used by public companies to reduce the amount of securities outstanding. A reverse…

BrokerCheck Announces PR Campaign

On June 1, 2015, the Financial Industry Regulatory Authority (FINRA) announced that it had launched a campaign promoting BrokerCheck (brokercheck.finra.org). BrokerCheck allows…

Retired Teachers Scammed In Ponzi Scheme

On June 1, 2014, the Securities and Exchange Commission (SEC) announced it had brought charges in a Ponzi Scheme. According to the…

SEC Charges Four With Insider Trading Ahead of Secondary Offerings

On June 3, 2015, the Securities and Exchange Commission announced insider trading charges against four individuals stealing confidential information from investment banks…

Boiler Rooms Booming In 2015

Over the past few weeks, we have had multiple requests from investors to review information they received after calls from boiler room…

Securities And Exchange Commission Announces Agenda

On May 28, 2014, the Securities and Exchange Commission released the agenda for its Advisory Committee on Small and Emerging Companies meeting…

SEC Inquiries and Investigations

The SEC’s Enforcement Division conducts investigations pursuant to formal Orders of Investigation that authorize the staff of the Enforcement Division to seek the…

Receiver Appointed in North Dakota Developments Ponzi Scheme

We’ve so far written twice about North Dakota Developments (“NDD”), a real estate Ponzi scheme operated by Daniel J. Hogan and Robert…

Douglas Parigian Pleads Guilty in Amateur Golfers Scheme

On May 13, 2015, the Securities and Exchange Commission (SEC”) announced that Douglas Parigian pled guilty to criminal charges of conspiracy and securities…

EDGAR Prepares For Regulation A+ – Going Public Attorneys

The SEC’s EDGAR system is being updated to prepare for Regulation A+. On April 23, 2015, the SEC adopted changes to Volume…

SEC Says North Dakota Developments Is A Ponzi Scheme

On May 5, 2015, the Securities and Exchange Commission (“SEC”) obtained a temporary restraining order against North Dakota Developments, LLC (“NDD”), Robert…

Morgan Stanley Fined $2 Million for Short Sale & Short Interest Reporting

On May 3, 2015, The Financial Industry Regulatory Authority (FINRA) announced it has fined Morgan Stanley & Co. $2 million for short…

SEC Halts Advance Fee Scam Targeting Home Building Industry

On May 15, 2015, the Securities and Exchange Commission (SEC) announced charges and an emergency asset freeze in an alleged advance fee…

Steven Palladino Pleads Guilty to Criminal Contempt for Violating SEC Orders

On May 14, 2015, the Securities and Exchange Commission (SEC) announced that, Steven Palladino pled guilty to 25 counts of criminal contempt…

Three SEC Stop Orders, One Mystery? Going Public Attorneys

On May 11, 2015, the Securities and Exchange Commission (“SEC”) instituted administrative proceedings against two penny stock companies, Visual Acumen, Inc., and…

What is a Sponsoring Market Maker? Going Public Attorneys

The last step in a going public transaction is for the company to receive a stock trading or ticker symbol from the Financial Industry…

FINRA Halts Trading in Riviera Tool Company

Moving with unusual speed, the Financial Industry Regulatory Authority (FINRA) halted trading in Riviera Tool Company (RIVT) after the closing bell on…

Securities Lawyers Gone Wild – John Briner Criminally Charged

The walls are closing in on former securities attorney John Briner. In the past two months, he’s been criminally charged in the…

Rule 144 Legal Opinions Q & A – Going Public Securities Lawyers

The Securities Act of 1933, as amended (the “Securities Act”) requires the sale of a security to be registered under the Securities…

Private Placement Memorandums Q & A – Going Public Lawyers

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

What is in a Regulation A 1-A Offering Circular?

On March 25, 2015, the Securities and Exchange Commission (“SEC”) adopted amendments to Regulation A pursuant to the mandate of Section 401(a)…

Massachusetts Adopts Emergency Crowdfunding Exemption

The Massachusetts Division of Securities has adopted an emergency intrastate crowdfunding exemption. The new exemption was developed to stimulate job growth for…

FINRA Proposes New Rules For Algorithmic Trading Strategies

FINRA is proposing new rules that will impact algorithic trading strategies. If an individual performs a trade on another person’s behalf, that associated…

Cashflowbot.com Operator Charged In Ponzi Scheme

On April 14, 2015, the operator of a website at Cashflowbot.com was charged in a ponzi scheme. According to the SEC charges,…

SEC Issues Trading Suspensions of 25 Issuers

On April 10, 2015, the Securities and Exchange Commission (“SEC”) announced the temporary suspension of trading in the securities of the following…

OTC Markets OTC Pink Sheets Q & A – Going Public Lawyers

Posted By Brenda Hamilton, Securities Lawyer In May of 2014, the OTC Markets Group approved new listing requirements for companies seeking quotation…

What State Laws Apply To Regulation A+ Offerings?

On March 25, 2015, the Securities and Exchange Commission (“SEC”) adopted amendments to Regulation A pursuant to the mandate of Section 401(a)…

Big Apple Consulting, Mark Jablon and Mark Kaley Lose Appeal

On April 9, 2015, the U.S. Court of Appeals for the Eleventh Circuit upheld a lower court’s ruling in the U.S. Securities…

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/