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

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…

What Is SEC Schedule 14-C? Going Public Lawyers

A Schedule 14C information statement is commonly required to inform all shareholders of what was approved, why it was approved, and how…

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…

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/