Jonathan Bryant Ordered to Pay Over $3 Million For 8000 Inc Scam
The Securities and Exchange Commission (the “SEC”) announced that on April 7, 2015, the U.S. District Court for the Southern District of…
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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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Going Public With Regulation A+ – Going Public Attorneys
On March 25, 2015, the Securities and Exchange Commission (the “SEC”) adopted amendments to Regulation A pursuant to the mandate of Section…
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SEC Charges Vadda Energy Corporation With Oil And Gas Fraud
On April 10, 2015, the Securities and Exchange Commission (“SEC”) charged Mieka Energy Corporation, and its founder and president Daro Ray Blankenship,…
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SEC Obtains Officer-Director and Penny Stock Bar Against Michael Cohen
On March 6, 2015, the Securities and Exchange Commission (“SEC”) announced that the United States District Court of New Jersey entered a…
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SEC Issues Trading Suspension of Triumph Ventures – TRVX
On April 10, 2015, the Securities and Exchange Commission (“SEC”) announced the trading suspension, pursuant to Section 12(k) of the Securities Exchange…
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SEC Approves FINRA Rule Allowing Transaction Based Compensation
The Securities and Exchange Commission (“SEC”) recently approved Rule 2040 proposed by the Financial Industry Regulatory Authority (“FINRA”) which applies to the payment…
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SEC Issues Trading Suspension of eCareer Common Shares
On April 8, 2014, the Securities and Exchange Commission (“SEC”) announced the temporary trading suspension of eCareer Holdings, Inc. of Boca Raton…
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SEC Charges Brian Polito With Oil and Gas Fraud
The Securities and Exchange Commission (“SEC”) Division of Enforcement filed suit against GC Resources, LLC and Brian J. Polito for oil and…
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OTC Markets Q & A – Going Public Lawyers
Posted By Brenda Hamilton, Securities Lawyer The OTC Markets offer several different tiers for companies to choose from when considering their services.…
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Broker Turned Bank Robber Sanctioned by the SEC
The Financial Industry Regulatory Authority (“FINRA”) and the Securities and Exchange Commission (“SEC”) regularly discipline errant brokers and financial advisers, but Leonard…
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SEC Subpoenas 101 – Securities Attorneys
Receiving a Securities and Exchange Commission (“SEC”) subpoena is a new and uncomfortable experience for most market participants. A SEC subpoena is…
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Direct Public Offering Q & A – Going Public Lawyers
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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Brenda Hamilton Featured By Intuit About Direct Public Offerings and Going Public
Intuit Inc., a provider of small business software solutions, including QuickBooks, tackles accounting, taxes, budgets, and personal finances with TurboTax. Quicken featured…
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FINRA Sanctions Short Seller – Securities & Going Public Attorneys
Short sale conspiracy theorists will be pleased to learn that on March 25, 2015, The Financial Industry Regulatory Authority (FINRA) announced sanctions…
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SEC Charges 22 Unregistered Broker-Dealers-Going Public Attorneys
The Securities and Exchange Commission (SEC) Division of Enforcement is pursuing unregistered broker-dealer activity which runs rampant in the penny stock markets. …
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The Going Public Attorney’s Document Review
Securities Lawyer 101 Blog The securities laws require companies to disclose a myriad of facts during the going public process. These disclosures…
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SEC Issues Trading Suspension of Winsonic Digital Media Group
The Securities and Exchange Commission (SEC) announced the temporary trading suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934…
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FINRA Reveals Fraud Victims Suffer Stress, Anxiety and Depression
Recently, the FINRA Investor Education Foundation issued a new research report about the impact of financial fraud on its victims. FINRA’s report revealed…
Read MoreWhy Is There A Q On My Ticker Symbol?
When a company is involved in bankruptcy proceedings, the letter “Q” is added to the end of the company’s stock ticker/trading symbol.…
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What Is a Schedule 13D Insider Report? Going Public Attorneys
When a person or group of persons acquires beneficial ownership of more than 5% of a voting class of a company’s equity…
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Bad Actor Waivers- Regulation A+ – Rule 506 – Going Public
On March 13, 2015, the Securities and Exchange Commission (SEC) provided guidance addressing waivers of disqualification for bad actors under Regulation A and…
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Form S-1 – Plan Of Distribution – Going Public Lawyers
Form S-1 requires companies to provide a Plan of Distribution as required by Item 508 of Regulation S-K. Item 508 requires a…
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Offering Proceeds and Going Public – Going Public Lawyer
A Going Public Lawyer helps the company comply with the expansive disclosures required in registration statements filed with the Securities and…
Read MoreInsiders Charged For Failure to Update Disclosures In Going Private Transactions
On March 13, 2015, the Securities and Exchange Commission (SEC) charged eight officers, directors, or major shareholders of public companies in connection…
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Form D – Notice of Sales – Going Public Lawyers
Posted By Brenda Hamilton, Securities Lawyer Companies may use an exemption under Regulation D to offer and sell securities without having to…
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What Documents Do Going Public Attorneys Review?
Proper disclosure is critical during the going public process. SEC disclosures are most often prepared by the company’s going public attorney. The securities…
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SEC Charges HD Vest Investment Securities
On March 4, 2015, the Securities and Exchange Commission (SEC) announced it had charged HD Vest Investment Securities with violating key customer…
Read MoreSEC Adds Additional Defendant In Shaw Insider Trading Case
Posted by Brenda Hamilton Securities Lawyer On March 6, 2014, the Securities and Exchange Commission (SEC) announced it had added Billy Joe…
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FINRA Fines LaSalle Securities For Private Placements
The Financial Industry Regulatory Authority (“FINRA”) and the Securities and Exchange Commission require that broker-dealers perform adequate due diligence before letting a…
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SEC Periodic Reporting – SEC Reporting Requirements – Going Public Lawyers
Companies become subject to the SEC’s periodic reporting requirements a number of ways including by filing a registration under the Securities Act…
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/