DTC Chill Conspiracy Theories On the Rise
Securities Lawyer 101 Blog The Depository Trust Company (“DTC”) is the only stock depository in the United States. When DTC provides services…
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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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Can A Foreign Company Go Public in the U.S.? Going Public Lawyers
Securities Lawyer 101 Blog Typically, foreign companies seeking to raise capital attempt to obtain public company status. Foreign companies that go public in…
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SEC Charges E*TRADE Subsidiaries With Improperly Selling Penny Stocks
Securities Lawyer 101 Blog On October 9, 2014, the Securities and Exchange Commission (the “SEC”) announced an enforcement action against current and…
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Geoffrey Eiten Ordered to Pay Over $700,000 In SEC Case
On October 8, 2014, the Securities and Exchange Commission (the “SEC”) announced that the U.S. District Court for the District of Massachusetts…
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Robert Kelly Sentenced to 27 Months For Securities & Wire Fraud
On September 23, 2014, Robert Kelly, the former chief executive officer of Wwebnet, Inc. (“Wwebnet”), a software development company, was sentenced to…
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SEC Addresses the Intrastate Crowdfunding Exemption
Securities Law Blog On October 2, 2014, the Securities and Exchange Commission issued an updated compliance and disclosure interpretation addressing intrastate crowdfunding…
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What Are the Prospectus Delivery Requirements? Going Public
Under the Securities Act of 1933 as amended (the "Securities Act"), an issuer that conducts an initial public offering ("IPO") including in…
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Dickson Lee of L&L Energy Pleads Guilty to Securities Fraud
On September 23, 2014, Dickson Lee, former CEO of Seattle-based L&L Energy, plead guilty to two counts of securities fraud. The plea…
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Raising Capital and Going Public Guide
There are two primary sets of federal securities laws that come into play when a company wants to offer and sell its securities…
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What is the Section 4(a)(5) Accredited Investor Exemption?
Securities Lawyer 101 Blog Offers and sales of securities must be either registered with the Securities and Exchange Commission (the “SEC”) or…
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The SEC’s XBRL Interactive Data l Securities Lawyer 101
Securities Lawyer 101 Blog The use of eXtensible Business Reporting Language (XBRL) interactive data is intended to improve the accessibility of financial information to…
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The Going Public Attorney & Due Diligence – Going Public Attorneys
A company’s going public lawyer must conduct proper due diligence in order to draft required disclosures during the going public process. These expansive disclosure…
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What is a Shelf Registration Statement? Going Public Bootcamp
A shelf registration statement allows an issuer to register a public offering even when there is no present intention to sell all…
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Section 15-d Reporting l Securities Lawyer 101
Securities Lawyer 101 Blog Upon completion of a going public transaction, an issuer that has registered equity or debt securities in an…
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Oh the Places You Will Go When Going Public
Oh the Places You’ll Go – Understanding the Going Public Process The going public process involves a myriad of rules and regulations…
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What Are Form 10-K Exhibits ? By Brenda Hamilton, Lawyer
Securities Lawyer 101 Blog Some of the most valuable sources of information about a public company are Form 10-K exhibits. Item 601…
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General Solicitation & the Rule 506 Private Placement Exemption
Securities Lawyer 101 Blog The Securities Act of 1933 (the “Securities Act”) provides for a private offering exemption from federal securities registration…
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The Role of the Direct Public Offering Attorney
Securities Lawyer 101 Blog The direct public offering (“Direct Public Offering“) has become the premier method used in going public transactions. A…
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Form S-1 Financial Statements l Going Public Attorneys
Securities Lawyer 101 Blog Companies that register securities for direct public offering on Form S-1 as part of their going public transaction…
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SEC Disclosures for Smaller Reporting Companies
Securities Lawyer 101 Blog The SEC Disclosure rules allow smaller reporting companies to provide less comprehensive disclosures in their reports and filings so that…
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SEC Charges Heathrow Natural Food & Beverage and Michael Pagnano
On September 23, 2014, the Securities and Exchange Commission (the “SEC”) issued an order instituting cease and desist proceedings against Registrar and Transfer…
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Direct Public Offerings After the JOBS Act
Securities Lawyer 101 Blog The Jumpstart Our Business Startups Act, or JOBS Act, is intended, among other things, to reduce barriers to…
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Sponsoring Market Makers l Going Public Bootcamp
Securities Lawyer 101 Blog One step in going public transactions is obtaining a stock trading or ticker symbol from the Financial Industry…
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The SEC’s Electronic Data Gathering and Retrieval System – EDGAR
Most documents filed with the Securities and Exchange Commission (the “SEC”), are required to be filed electronically using the SEC’s Electronic Data…
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What are Convertible Securities? l Securities Lawyer 101
Securities Lawyer 101 Blog A “convertible security” is often structured as a bond, note, preferred stock, or a wraparound agreement that results…
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SEC Form 3, 4 & 5 Filing and Disclosure Requirements l By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog After the recent sweep by the Securities and Exchange Commission(the “SEC”) charging 28 persons in connection with their…
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Retweets of Social Media & Public Companies
Securities Lawyer 101 Blog It has become almost routine for public companies to use social media to interact with their shareholders, and…
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FINRA Uses Rule 6490 To Stop Reverse Merger Wash, Rinse, Repeat Issuers
Securities Law Blog In late 2009, the Financial Industry Regulatory Authority (“FINRA”) proposed changes to its Rule 6490. Until that time, the Rule had…
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Integration During the Going Public Process – Securities Lawyer 101
Securities Lawyer 101 Blog Issuers often need to raise funds during their going public transactions to offset legal and accounting costs. The…
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Penny Stock Emails 101- Securities Lawyer 101
Securities Lawyer 101 Blog Often times investor relations firms touting microcap stocks use penny stock email containing newsletters and advertisements about a…
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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.
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https://www.finra.org/JOBS Act 101
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