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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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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…

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…

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/

Nasdaq

https://www.nasdaq.com/newsroom

NYSE

https://www.nyse.com/markets/resources

Go Public 101

https://www.gopublic101.com/

OTC Markets

https://www.otcmarkets.com/

Securities Lawyer 101 Blog

https://www.securitieslawyer101.com/blog/