Securities Law and Going Public Blog

Blog

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

What Is SEC Schedule 14-C? Going Public Lawyers

Securities Lawyer 101 Blog A Schedule 14-C attorney prepares a proxy statement when a public company holds its stockholders’ meeting each year…

Schedule 14-A Lawyers

Securities Lawyer 101 Blog Schedule 14-A contains the SEC’s proxy rules. Public companies hold a stockholders’ meeting annually and hold special meetings…

What is a Sponsoring Market Maker? Sponsoring Market Maker Lawyers

The last step in a going public transaction is for the company to receive a stock trading or ticker symbol from the Financial…

SEC Updates EDGAR Manual

Client Alert On December 15, 2014, the SEC updated Volume I and Volume II of its EDGAR Filer Manual . Changes to the Edgar Manual…

NASAA Announces Form D Electronic Filing Portal

The North American Securities Administrators Association (“NASAA”) has launched its Electronic Filing Depository (“EFD”) for Rule 506 Form D filings. NASAA’s EFD was created to allow companies to…

SEC Proposes Exchange Act Registration Thresholds

On December 18, 2014, the SEC issued proposals required by the JOBS Act intended to permit non-reporting issuers to delay or avoid becoming SEC reporting…

SEC Charges Staten Island Company in Boiler Room Scam

On December 18, 2014, the Securities and Exchange Commission (“SEC”) charged a Staten Island company called Premier Links Inc. and its former…

Operator of a Ponzi Scheme Uses Proceeds to Cryogenically Freeze Wife

Ponzi schemes are nothing new, but unwary investors continue to fall for them, lured by the prospect of improbably large returns. Typically,…

Going Public Forms

One of the primary purposes of the federal securities laws is to require companies making a public offering of securities to disclose…

SEC Proposes Amendments to Implement JOBS Act

On December 19, 2014, the SEC approved the issuance of proposed amendments to revise the rules related to the thresholds for registration, termination…

NASAA Launches Rule 506 Form D EFD

Securities Lawyer 101 Blog The North American Securities Administrators Association (“NASAA”) has launched its Electronic Filing Depository (“EFD”) for Rule 506 Form D…

Money Laundering 101

Securities Lawyer 101 Blog Posted By: Brenda Hamilton Attorney The Bank Secrecy Act (“BSA”) requires financial institutions in the United States to…

What is the OTC Link® ATS? OTC Markets Lawyers

OTC Link LLC (OTC Link) is owned by OTC Markets Group Inc. OTC Link is an electronic inter-dealer quotation system that displays…

OTCQX Listing, Eligibility & Quotation – OTC Markets Lawyers

OTC Markets Group organizes securities into the OTCQX®, OTCQB® and OTC Pink® categories based on the level of disclosure provided and the…

OTC Markets FAQ – OTC Markets Attorneys

The OTC Markets offers several different tiers for companies to chose from when considering their services. These are the OTCQX, OTCQB and…

Practice Areas – The Going Public Lawyers

Hamilton & Associates Law Group encompasses a wide variety of going public, corporate and securities law specialties, including, among others, continuing forensic…

Notable Representation – Hamilton & Associates

The going public attorneys at Hamilton & Associates have represented issuers seeking to direct public offerings, secondary offerings and initial public offerings. The firm has…

Services – Going Public Lawyers – Direct Public Offerings

The securities and going public lawyers at Hamilton & Associates Law Group provide private and public companies with reliable representation in various types…

SEC Settles Charges Against Joseph Saranello

On December 17, 2014, the Securities and Exchange Commission (the “SEC”) announced settled charges against Joseph Saranello who participated in a pump-and-dump…

Avon Products Charged with Foreign Corrupt Practices Act Violations

On December 17, 2014, the Securities and Exchange Commission (the “SEC”) charged Avon Products Inc. with violating the Foreign Corrupt Practices Act…

Why The Rules That Apply To Transfer Agents Are Passé

On December 17, 2014, Luis A. Aguilar released a public statement about why the rules surrounding transfer agents should be updated and…

CANN Settles Lawsuit Against Stephen Calandrella

On September 25, 2014, Advanced Cannabis Solutions, Inc. (“CANN”) sued Stephen G. Calandrella, one of the company’s biggest investors. Though that may…

SEC Charges Treaty Energy, Management & Attorney

On December 15, 2014, Securities and Exchange Commission (the “SEC”) charged Treaty Energy Corporation, Ronald L. Blackburn, Andrew V. Reid, Bruce A.…

Doug Furth Indicted in Kickback Scheme

On December 12, 2014, the Securities and Exchange Commission (“SEC”) filed a civil injunctive action in the United States District Court for the…

SEC Sanctions Firms For Lack of Auditor Independence

On December 8, 2014, the Securities and Exchange Commission (the “SEC”) sanctioned eight firms for violating auditor independence rules when they prepared…

SEC Sanctions Bitcoin Stock Exchange Operator

On December 8, 2014, the Securities and Exchange Commission (the “SEC”) announced sanctions against a computer programmer for operating two online…

Section 3(a)(10) l The Paper Crime Exemption

Section 3(a)(10) of the Securities Act of 1933 (the “Securities Act”) provides an exemption from registration that permits a company to issue…

SEC Targets Another Promoter In a Reverse Merger Scheme

Securities Law Blog The Securities and Exchange Commission (the “SEC”) charged another promoter in connection with a reverse merger issuer. Matthew Carley, a penny…

SEC Charges Traders Cafe Founders As Unregistered Brokers

The Securities & Exchange Commission (the “SEC”) announced securities fraud charges against Albert J. Scipione and Matthew P. Ionno who they allege pursued investors…

Executives of Assisted Living Concepts Charged with Fraud

Securities Law Blog On December 3, 2014, the Securities and Exchange Commission (the “SEC”) announced securities fraud charges against Laurie Bebo and…

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/