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

Feds to Auction Silk Road Bitcoins Belonging to Ross William Ulbricht

Last week, the US Marshals Service announced that it will hold an auction on December 4, to sell 50,000 bitcoins that belong…

Trends in Bitcoin Regulation

Securities Law Blog On October 27, 2014, FinCEN issued two administrative rulings to companies seeking…

SEC Censures Eureeca.com For Selling To US Investors

Securities Law Blog On November 12, 2014, the Securities and Exchange Commission (the “SEC”) censured Eureeca.com, a Cayman Islands-based crowdfunding website for…

SEC Suspends Trading in Ebola Tickers

The Securities and Exchange Commission (the “SEC”) suspended trading in four companies that claim to be developing products or services in response…

SEC Charges Eric Van Nguyen, Jay Fung and Anthony Thompson

On November 17, 2014, the Securities and Exchange Commission (the “SEC”) charged three penny stock promoters with conducting pump-and-dump schemes involving stocks…

Joseph Noel Charged In Stock Scalping Scheme

Securities Lawyer 101 Blog On November 17, 2014, the Securities and Exchange Commission (the “SEC”) charged Joseph Noel, the Chief Executive Officer…

Offshore Crowdfunding Portals Are Not Shielded From Liability Under U.S. Securities Laws

The SEC’s recent Cease and Desist order against Eureeca Capital demonstrates that we may begin to see enforcement activity involving offshore crowdfunding…

FINRA Investor Survey Reveals Support for Regulatory Protections

Securities Law Blog The Financial Industry Regulatory Authority (FINRA) recently released a survey of U.S. investors designed to measure perceptions of fairness…

CFTC Addresses the Use of Rule 506 By Commodity Pool Operators

Securities Law Blog The Commodity Futures Trading Commission (the “CFTC”) recently issued an Exemptive Relief letter No. 14-116 allowing certain operators of…

FINRA Addresses Confidentiality Provisions In Notice 14-40

Securities Law Blog In FINRA Regulatory Notice 14-40, members are cautioned that it is a violation of FINRA Rule 2010- Standards of…

NASDAQ Submits Proposals Requiring Public Disclosure of Denied Listing Applications

On October 30, 2014, NASDAQ submitted a proposal addressing initial NASDAQ listing applications. The proposals include that a company could withdraw its…

Medbox, Inc. Announces SEC Investigation

Securities Lawyer 101 Blog On November 12, 2014, Medbox, Inc. (MDBX) put an end to nearly two weeks of speculation by acknowledging…

Belizean Judge Removes Asset Freeze in Robert Bandfield Case

On November 10, 2014, Belizean Chief Justice Kenneth Benjamin ordered the removal of a freeze on accounts owned by six defendants in…

Second Incarnation of Silk Road Bitcoin Shop Shut Down

On November 6, 2014, U.S. District Attorney’s Office for the Southern District of New York, the Federal Bureau of Investigation (“FBI”) and…

What is an Investment Newsletter?

Securities Lawyer 101 Blog The Securities and Exchange Commission (“SEC”) recently issued an Investor Alert warning about the use of investment newsletters…

How Form S-1 and Form 10 Registration Statements Are Different

Going public often refers to the process of a company filing a registration statement under the Securities Act of 1933, as amended…

SEC Sanctions 10 Issuers for Form 8-K Failures

On November 5, 2014, the Securities and Exchange Commission (the “SEC”) announced enforcement actions against 10 companies for failing to file Current…

The SEC Investigates Bitcoin Companies

Bitcoin blogs have been buzzing recently with news of an SEC investigation into cryptocurrency companies that the agency apparently believes have engaged…

SEC Obtains Judgments Against James Wheeler and MicroHoldings

Securities Lawyer 101 – Securities Law Blog On October 31, 2014, the Securities & Exchange Commission (the “SEC”) obtained judgments MicroHoldings US,…

Brenda Hamilton Securities Attorney

Brenda Hamilton, our law firm’s founder and a securities lawyer has counseled clients in legal and compliance matters involving securities and financial…

OTC Markets Rules for OTCQB Companies

Posted by Brenda Hamilton Attorney In May of this year, the OTC Markets’ new rules for OTCQB stocks were implemented, as promised. The…

Attorney Kenneth Eade Barred By SEC

Securities Lawyers Gone Wild Series On October 28, 2014, the Securities and Exchange Commission (“SEC”) announced the settlement of an administrative proceeding…

Crowdfunding a Texas Intrastate Offering

Securities Lawyer 101 Blog Texas is the latest state to embrace equity crowdfunding. On October 22, 2014, the Texas State Securities Board…

Crowdfunding a Going Public Transaction –

The Securities and Exchange Commission (“SEC”) rules for crowdfunding remain in limbo, but 12 states have passed legislation allowing intrastate crowdfunding. The…

How Do I Spin-Off A Subsidiary? Going Public Lawyers

Securities Lawyer 101 Blog A spin-off (“Spin-off”) involves a transaction in which a parent company (“Parent”) distributes securities of its subsidiary (“Subsidiary”)…

Proposals For DTC Chills and Global Locks WITHDRAWN

On December 18, 2013, the Depository Trust Company (“DTC”) submitted a proposed rule change to the Securities and Exchange Commission (“SEC”), which…

SEC Obtains Final Judgment Entered Against 8000, Inc. CEO, Thomas Kelly

Securities Lawyer 101 – Securities Law Blog On October 9, 2014, the Securities and Exchange Commission (the “SEC”) announced a Final Judgment had…

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…

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…

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…

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/