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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.
Posted By Brenda Hamilton, Securities Lawyer The Depository Trust and Clearing Corporation (“DTCC”), through its subsidiaries, provides clearing, settlement and information services…
Read MoreA foreign issuer seeking to go public has several registration statement forms available for its going public transactions. Regardless of the registration…
Read MoreA foreign private issuer seeking to go public in the U.S. can file a registration statement covering a public offering of securities under…
Read MoreUnder federal securities laws, a foreign company that meets the definition of the Securities and Exchange Commission (SEC) of a foreign private…
Read MoreForeign issuers seeking to go public and access the U.S. capital markets must comply with the requirements of the Securities Act of…
Read MoreThe U.S. markets are a preferred venue for foreign companies seeking to raise capital and/or create liquidity for shareholders by going…
Read MoreRule 144 (“SEC Rule 144”) under the Securities Act of 1933 (“Securities Act”) provides a safe harbor from the registration statement provisions…
Read MorePosted by Brenda Hamilton, Securities and Going Public Lawyer Michigan recently made a move to assist Michigan small businesses with their investment…
Read MorePosted by Brenda Hamilton, Securities and Going Public Lawyer Broker-dealers are subject to regulation by the SEC, FINRA and any other Self-Regulatory…
Read MorePosted by Brenda Hamilton, Securities and Going Public Lawyer It has become almost routine for public companies to use social media to…
Read MorePosted by Brenda Hamilton, Securities and Going Public Lawyer Going Public can involve a variety of structures depending upon each company’s specific needs.…
Read MorePosted by Brenda Hamilton, Securities and Going Public Lawyer The “Short Swing Profit” rules were created to prevent insiders, who have greater…
Read MorePosted by Brenda Hamilton, Securities and Going Public Lawyer Following an action by the Securities and Exchange Commission (SEC) last week and…
Read MorePosted by Brenda Hamilton, Securities and Going Public Lawyer Q. What is The Depository Trust Company (“DTC”)? A. DTC is the only…
Read MoreBy The Going Public Attorneys – The Financial Institution Regulatory Authority (FINRA) plays an important role in going public transactions. While filing…
Read MoreOn January 15, 2015, the Securities and Exchange Commission (SEC) announced charges against penny stock lawyers, auditors, and others allegedly involved in a…
Read MoreOn February 6, 2015, the U.S. Securities and Exchange Commission (“SEC”) announced the temporary suspension, pursuant to Section 12(k) of the Securities…
Read MoreLast week, the Securities and Exchange Commission (“SEC”) announced charges against Oppenheimer & Co. for violations of federal securities laws for improperly selling penny stocks…
Read MoreOn February 3, 2015, the Securities and Exchange Commission (“SEC”) addressed cybersecurity at brokerage and advisory firms and provided suggestions to investors…
Read MoreGoing public requirements vary for companies seeking to go public on the OTC Markets, OTC Pink, and OTCQB marketplace. The biggest difference…
Read MorePreparing for a direct public offering or an initial public offering (“IPO”) or takes both a commitment of time and money. Unlike an Initial Public Offering,…
Read MoreDown the Rabbit Hole We Go We were recently asked to review a penny stock company called Medbox Inc. (MDBX). The Medbox…
Read MoreBecause only issuers can go public and have their securities publicly traded, it is necessary for many unincorporated businesses to set up corporate…
Read MoreForeign issuers seeking to go public have several options for their transactions. Foreign issuers seeking to go public in the U.S. may complete an…
Read MoreA common question we receive as going public lawyers is what graphics can be used in the issuer’s Form S-1 registration statement. …
Read MoreA company may desire to change information presented in its Annual Report on Form 10-K for a number of reasons. Form 10-K…
Read MoreItem 601 of Regulation S-K requires issuers to file a Consent of Auditor as an exhibit to certain forms and files with the SEC…
Read MoreAnnual reports on Form 10-K are just around the corner for companies with a December 31, year-end. We have received several questions…
Read MoreSecurities law issues are an important consideration in structuring a Chapter 11 reorganization, particularly where the debtor is a public company. Section…
Read MoreDespite numerous SEC enforcement actions, Rule 504 of Regulation D of the Securities Act remains a commonly misused exemption particularly in dilution…
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