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

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…

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…

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/