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

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…

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…

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…

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…

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…

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…

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…

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…

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…

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…

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…

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…

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…

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…

What is Equity Crowdfunding?

On October 23, 2013, the Securities and Exchange Commission (the “SEC”) proposed Regulation Crowdfunding, setting forth the rules governing the offer and…

Craig Karlis Sentenced to 9 Years For Fraud Charges

The Securities and Exchange Commission (the “SEC”) announced that on September 16, 2014, the former owner of a Boston Trading and Research,…

SEC Charges 28 With Insider Reporting Failures

The Securities and Exchange Commission (the "SEC") announced enforcement actions and penalties of more than $2.6 million against 28 individual directors, officers, and…

Securities Lawyers Gone Wild – Svitlana Sangary

Business Lawyer Photoshops Her Way to a Six Month Suspension Some wayward attorneys content themselves with writing fraudulent opinion letters, but Svitlana…

Zirk Englebrecht Indicted In Reverse Merger Scheme

On September 18, 2014, the Federal Bureau of Investigation announced that Izak Sirk De Maison (aka Izak Zirk Engelbrecht, aka Zirk Engelbrecht). …

SEC Charges 8 in Pump and Dump Scheme

On September 18, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against eight individuals for their roles in an alleged pump-and-dump…

SEC Issues Multiple Trading Suspensions

On September 18, 2014, the Securities and Exchange Commission (the “SEC”) announced temporary trading suspensions of multiple issuers. The trading suspensions commenced at 9:30…

SEC Issues Trading Suspension of Gepco Ltd.

On September 18, 2014, the Securities and Exchange Commission issued a temporary trading suspension of the securities of Gepco, Ltd securities due…

Robert Bandfield, Andrew Godfrey and Jim Can Indicted

On September 9, 2014, the United States Attorney for the Eastern District of New York announced a multi-count indictment against six individual defendants:…

What is a Secondary Offering? Going Public Lawyers

Securities Lawyer 101 Blog Going public transactions can be structured a variety of ways. Many going public transactions involve the filing of…

Bank Secrecy 101 By: Brenda Hamilton, Attorney

Securities Lawyer 101 Blog Posted By: Brenda Hamilton Attorney The Bank Secrecy Act (“BSA”) requires financial institutions in the United States to…

Panama and U.S. To Share More Than $36 Million in Forfeitures

Securities Lawyer 101 Blog In October of 2013, Deputy Attorney General James M. Cole and Panamanian Attorney General Ana Belfon signed an…

Securities Lawyers Gone Wild – Justin Lee Charged in EB-5 Scheme

On September 3, 2014, the Securities and Exchange Commission (the “SEC”) charged an immigration and securities attorney, his wife, and his law…

Can I Register An Equity Line In My Going Public Transaction?

Securities Lawyer 101 Blog In going public transactions, issuers consider many capital raising options. One capital raising option is the equity credit…

Rule 144’s Current Public Information Requirement

Rule 144 of the Securities Act provides a safe harbor from the registration requirements of the Securities Act of 1933, as amended…

FINRA Proposes Pilot Program to Widen Tick Sizes

On August 27, 2014, the Securities and Exchange Commission (the “SEC”) announced that the national securities exchanges and the Financial Industry Regulatory…

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/