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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.
The SEC’s recent Cease and Desist order against Eureeca Capital demonstrates that we may begin to see enforcement activity involving offshore crowdfunding…
Read MoreSecurities Law Blog The Financial Industry Regulatory Authority (FINRA) recently released a survey of U.S. investors designed to measure perceptions of fairness…
Read MoreSecurities Law Blog The Commodity Futures Trading Commission (the “CFTC”) recently issued an Exemptive Relief letter No. 14-116 allowing certain operators of…
Read MoreSecurities Law Blog In FINRA Regulatory Notice 14-40, members are cautioned that it is a violation of FINRA Rule 2010- Standards of…
Read MoreOn October 30, 2014, NASDAQ submitted a proposal addressing initial NASDAQ listing applications. The proposals include that a company could withdraw its…
Read MoreSecurities Lawyer 101 Blog On November 12, 2014, Medbox, Inc. (MDBX) put an end to nearly two weeks of speculation by acknowledging…
Read MoreOn November 10, 2014, Belizean Chief Justice Kenneth Benjamin ordered the removal of a freeze on accounts owned by six defendants in…
Read MoreOn November 6, 2014, U.S. District Attorney’s Office for the Southern District of New York, the Federal Bureau of Investigation (“FBI”) and…
Read MoreSecurities Lawyer 101 Blog The Securities and Exchange Commission (“SEC”) recently issued an Investor Alert warning about the use of investment newsletters…
Read MoreGoing public often refers to the process of a company filing a registration statement under the Securities Act of 1933, as amended…
Read MoreOn November 5, 2014, the Securities and Exchange Commission (the “SEC”) announced enforcement actions against 10 companies for failing to file Current…
Read MoreBitcoin blogs have been buzzing recently with news of an SEC investigation into cryptocurrency companies that the agency apparently believes have engaged…
Read MoreSecurities Lawyer 101 – Securities Law Blog On October 31, 2014, the Securities & Exchange Commission (the “SEC”) obtained judgments MicroHoldings US,…
Read MoreBrenda Hamilton, our law firm’s founder and a securities lawyer has counseled clients in legal and compliance matters involving securities and financial…
Read MorePosted by Brenda Hamilton Attorney In May of this year, the OTC Markets’ new rules for OTCQB stocks were implemented, as promised. The…
Read MoreSecurities Lawyers Gone Wild Series On October 28, 2014, the Securities and Exchange Commission (“SEC”) announced the settlement of an administrative proceeding…
Read MoreSecurities Lawyer 101 Blog Texas is the latest state to embrace equity crowdfunding. On October 22, 2014, the Texas State Securities Board…
Read MoreThe Securities and Exchange Commission (“SEC”) rules for crowdfunding remain in limbo, but 12 states have passed legislation allowing intrastate crowdfunding. The…
Read MoreSecurities Lawyer 101 Blog A spin-off (“Spin-off”) involves a transaction in which a parent company (“Parent”) distributes securities of its subsidiary (“Subsidiary”)…
Read MoreOn December 18, 2013, the Depository Trust Company (“DTC”) submitted a proposed rule change to the Securities and Exchange Commission (“SEC”), which…
Read MoreSecurities Lawyer 101 – Securities Law Blog On October 9, 2014, the Securities and Exchange Commission (the “SEC”) announced a Final Judgment had…
Read MoreSecurities Lawyer 101 Blog The Depository Trust Company (“DTC”) is the only stock depository in the United States. When DTC provides services…
Read MoreSecurities Lawyer 101 Blog Typically, foreign companies seeking to raise capital attempt to obtain public company status. Foreign companies that go public in…
Read MoreSecurities Lawyer 101 Blog On October 9, 2014, the Securities and Exchange Commission (the “SEC”) announced an enforcement action against current and…
Read MoreOn October 8, 2014, the Securities and Exchange Commission (the “SEC”) announced that the U.S. District Court for the District of Massachusetts…
Read MoreOn September 23, 2014, Robert Kelly, the former chief executive officer of Wwebnet, Inc. (“Wwebnet”), a software development company, was sentenced to…
Read MoreSecurities Law Blog On October 2, 2014, the Securities and Exchange Commission issued an updated compliance and disclosure interpretation addressing intrastate crowdfunding…
Read MoreUnder the Securities Act of 1933 as amended (the "Securities Act"), an issuer that conducts an initial public offering ("IPO") including in…
Read MoreOn September 23, 2014, Dickson Lee, former CEO of Seattle-based L&L Energy, plead guilty to two counts of securities fraud. The plea…
Read MoreThere 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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