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.

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Retweets, Social Media & Being Public – Going Public Lawyers

Posted by Brenda Hamilton, Securities and Going Public Lawyer It has become almost routine for public companies to use social media to…

Going Public Strategies – Going Public Attorneys

Posted by Brenda Hamilton, Securities and Going Public Lawyer Going Public can involve a variety of structures depending upon each company’s specific needs.…

Short Swing Profits Q & A By: Brenda Hamilton Securities Lawyer

Posted by Brenda Hamilton, Securities and Going Public Lawyer The “Short Swing Profit” rules were created to prevent insiders, who have greater…

Caledonian Securities & Caledonian Bank Seized by Cayman Officials

Posted by Brenda Hamilton, Securities and Going Public Lawyer Following an action by the Securities and Exchange Commission (SEC) last week and…

DTC Eligibility Explained By The Going Public Attorneys

Posted by Brenda Hamilton, Securities and Going Public Lawyer Q. What is The Depository Trust Company (“DTC”)? A. DTC is the only…

Does FINRA Approve Going Public Transactions? Going Public Attorneys

By The Going Public Attorneys – The Financial Institution Regulatory Authority (FINRA) plays an important role in going public transactions. While filing…

Penny Stock Lawyers, Auditors & Nominees Charged by SEC

On January 15, 2015, the Securities and Exchange Commission (SEC) announced charges against penny stock lawyers, auditors, and others allegedly involved in a…

SEC Suspends Modern PVC -MPVC- Securities Lawyer 101

On February 6, 2015, the U.S. Securities and Exchange Commission (“SEC”) announced the temporary suspension, pursuant to Section 12(k) of the Securities…

SEC Charges Oppenheimer For Penny Stock Sales

Last week, the Securities and Exchange Commission (“SEC”) announced charges against Oppenheimer & Co. for violations of federal securities laws for improperly selling penny stocks…

SEC Issues Investor Alert on Cybersecurity

On February 3, 2015, the Securities and Exchange Commission (“SEC”) addressed cybersecurity at brokerage and advisory firms and provided suggestions to investors…

Can I Afford To Go Public on the OTCQB? – Going Public Lawyer

Going public requirements vary for companies seeking to go public on the OTC Markets, OTC Pink, and OTCQB marketplace. The biggest difference…

Roadmap For a Successful Direct Public Offering

Preparing 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,…

Medbox & The License to Swindle – Peter Berney Shells

Down the Rabbit Hole We Go We were recently asked to review a penny stock company called Medbox Inc. (MDBX). The Medbox…

Corporate Law 101 – Securities Lawyer

Because only issuers can go public and have their securities publicly traded, it is necessary for many unincorporated businesses to set up corporate…

Foreign Issuers Going Public and How? Securities Attorney

Foreign issuers seeking to go public have several options for their transactions. Foreign issuers seeking to go public in the U.S. may complete an…

Can I Put Graphics In My S-1? Going Public Lawyers

A common question we receive as going public lawyers is what graphics can be used in the issuer’s Form S-1 registration statement. …

Can I Amend My Form 10-K? Going Public Attorneys

A company may desire to change information presented in its Annual Report on Form 10-K for a number of reasons. Form 10-K…

What Is a Consent of Auditor? Going Public Lawyers

Item 601 of Regulation S-K requires issuers to file a Consent of Auditor as an exhibit to certain forms and files with the SEC…

SEC Amends Related Party Disclosure Rules – Going Public Lawyers

Annual reports on Form 10-K are just around the corner for companies with a December 31, year-end. We have received several questions…

What Is The Section 1145 Exemption? Securities Lawyer 101

Securities law issues are an important consideration in structuring a Chapter 11 reorganization, particularly where the debtor is a public company. Section…

Can I Issue Free Trading Shares Under Rule 504? Going Public Lawyers

Despite numerous SEC enforcement actions, Rule 504 of Regulation D of the Securities Act remains a commonly misused exemption particularly in dilution…

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…

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/