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

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…

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…

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…

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…

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…

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. …

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…

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…

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…

Why 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.…

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…

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…

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…

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…

Insiders 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…

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…

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…

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…

SEC 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…

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…

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…

DTC Eligibility Q & A – Creating Liquidity with Electronic Trading

Posted By Brenda Hamilton, Securities Lawyer The Depository Trust and Clearing Corporation (“DTCC”), through its subsidiaries, provides clearing, settlement and information services…

How Does A Foreign Issuer Register Shares When Going Public?

A foreign issuer seeking to go public has several registration statement forms available for its going public transactions. Regardless of the registration…

Periodic Reporting for Foreign Issuers – Going Public Lawyers

A foreign private issuer seeking to go public in the U.S. can file a registration statement covering a public offering of securities under…

How Can a Foreign Issuer Use 12g3-2 To Go Public?

Under federal securities laws, a foreign company that meets the definition of the Securities and Exchange Commission (SEC) of a foreign private…

Foreign Private Issuer Disclosure Obligations – Going Public Lawyers

Foreign issuers seeking to go public and access the U.S. capital markets must comply with the requirements of the Securities Act of…

Considerations For Foreign Companies Going Public

The U.S. markets are a preferred venue for foreign companies seeking to raise capital and/or create liquidity for shareholders by going…

Can I Sell Shares Under Section 4(1)? Going Public Lawyers

Rule 144 (“SEC Rule 144”) under the Securities Act of 1933 (“Securities Act”) provides a safe harbor from the registration statement provisions…

Michigan Embraces Crowdfunding

Posted by Brenda Hamilton, Securities and Going Public Lawyer Michigan recently made a move to assist Michigan small businesses with their investment…

Broker Dealer Registration 101

Posted by Brenda Hamilton, Securities and Going Public Lawyer Broker-dealers are subject to regulation by the SEC, FINRA and any other Self-Regulatory…

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/