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

SEC Charges Frederick Elm and Elm Tree Investment Fund LP

On January 21, 2015, the Securities and Exchange Commission (the “SEC”) announced fraud charges and an asset freeze against a Fort Lauderdale,…

Who Has To File Form 144?

Rule 144 of the Securities Act of 1933, as amended provides a safe harbor for certain public resales of securities, if certain…

Just What Is A Security Anyway? – Going Public Lawyers

Below is a teaser from the new e-book by Michael T. Williams, a going public lawyer and Best-Selling Amazon E-Book author. The…

What Happens If I Forget To File My Form D? Going Public Lawyers

Securities Lawyer 101 Blog The most common exemptions from registration for both public companies and private companies seeking to go public are…

Do I Have to Disclose Payments To a Finder?

Companies seeking capital are frequently approached by intermediaries who offer to locate investors in exchange for a fee. Most intermediaries also known…

How Do I Spin-Off My Subsidiary? Going Public Lawyer

Securities Lawyer 101 Blog A spin-off (“Spin-off”) involves a transaction in which a parent company (“Parent”) distributes shares of its subsidiary (“Subsidiary”)…

What is a Going Public Lawyer?

The role of the Going Public Lawyer is one of the most important in the going public process. The Going Public Lawyers…

FINRA Expels John Thomas Financial & Bars Tommy Belesis

On January 9, 2015, The Financial Industry Regulatory Authority (“FINRA”) announced that a hearing panel expelled John Thomas Financial, and barred its…

What Is SEC Form 5 & When Is It Due? Securities Lawyer 101

Section 16 of the Securities Exchange Act of 1934 requires that officers, directors and holders of more than 10% of a company’s…

How Do I Go Public on the OTC Pink? – Going Public Lawyer

Securities Lawyer 101 Blog Many private companies that go public are opting for the listing on the OTC Market’s OTC Pinks due…

How Does a Sponsoring Market Maker Get a Ticker? Form 211 and Rule 15c-211

Securities Lawyer 101 Blog The last step in going public transactions is most often obtaining a stock trading or ticker symbol from…

What Is a Reverse Merger Super 8-K? Going Public Lawyer

Securities Lawyer 101 Blog The Securities and Exchange Commission (“SEC”), Division of Corporate Finance frequently notes disclosure failures of reverse merger transactions in…

And The Beat Goes On – Tennessee Adopts Crowdfunding

While the SEC (after 700 days) has not adopted its final equity crowdfunding regulations, Tennessee’s entrepreneurial efforts have moved forward. Tennessee’s new…

What is a Form 144 Notice of Sales? Going Public Lawyer

Securities Lawyer 101 Blog Rule 144 requires that a “Notice of Sale” on Form 144 be filed by any person for whose…

Reverse Mergers & Form 10 Shells

Form 10 Shells are often sold for reverse merger transactions. A Form 10 shell is a company with no or nominal operational…

Paying Consultants & Stock Promoters With Stock – Going Public Lawyers

Shares registered on Form S-8 can only be used to compensate a natural person and not a corporation or other entity.

The Going Public Lawyer’s Dictionary

The Going Public Lawyer’s Dictionary was created to assist companies to become familiar with certain terms they will encounter during their going…

Why Companies Need a Going Public Attorney

A Going public attorney can help ensure that a Company’s offer and sale of securities comply with both state and federal securities laws. Going public is an…

When Is Form 10-K Due? Securities Lawyer 101

Securities Lawyer 101 Blog A public company must file an annual report on Form 10-K following the end of each of its fiscal…

DTC Conspiracy Theories Continue In 2015

Securities Lawyer 101 Blog We continue to receive inquiries from management and shareholders of public companies about the Depository Trust Company (“DTC”). …

What Does a Going Public Lawyer Do Anyway?

The role of the Going Public Lawyer is one of the most important in the going public process. The Going Public Lawyers…

Can Form S-1 Be Used To Go Public ? l Going Public Lawyers

Going Public Bootcamp – Securities Lawyer 101 Blog Form S-1 is the basic registration statement form used to register securities. Form S-1 can…

Can I Go Public With an Exchange Act Registration Statement?

Securities Lawyer 101 Blog All public companies whose securities are registered on a national securities exchange, and generally issuers whose assets exceed…

What is Stock Scalping ? Securities Lawyer 101

Securities Lawyer 101 Blog Stock promoters often engage in what is known as stock scalping. Stock scalping is the illegal and deceptive…

Tips for Going Public With a Direct Public Offering

Direct Public Offering Lawyer – Securities Law Blog More and more issuers going public opt for a direct public offering. In a…

Public Company Disclosure Controls and Procedures

Securities Lawyer 101 Blog To back up the officer and director certifications in periodic reports, issuers must establish and maintain a system of disclosure…

Form 8-K Disclosure of Shareholder Meetings

Companies with a class of securities registered under the Securities Exchange Act of 1934, as amended are required to file periodic reports…

Crowdfunding Platforms to Watch in 2015

It has been more than a year and the SEC has not finalized its rules with respect to equity crowdfunding under the…

E-Cigarette Scams – American Heritage International

Securities Lawyer 101 Blog Last week, the Financial Industry Regulatory Agency (“FINRA”) issued an investor alert concerning companies touting new technology for…

Overview of Disclosures Drafted by a Going Public Lawyer

Private companies seeking public company status should weigh the benefits and risks before going public. The right going public attorney can help…

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/