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

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…

Investor Relations Firm Employee Michael Lucarelli Indicted

Securities Law Blog On August 26, 2014, the U.S. Attorney’s Office for the Southern District of New York announced charges against Michael Anthony…

What Are EB-5 Offering Requirements? Going Public Lawyer

Securities Lawyer 101 Blog The EB-5 offering visa program grants foreign investors a green card for themselves and their immediate family in…

Social Media and Being Publicly Traded

Securities Lawyer 101 Blog Publicly traded companies are increasingly using their company websites and the social media to communicate information to the…

Preparing and Filing SEC Form D

Securities Law Blog Regulation D under the Securities Act of 1933, as amended (the “Securities Act”) provides exemptions that permit a company…

Going Public Attorneys Helping Issuers

Going public is a big step for any company. The process of “going public” is complex and at times precarious. While going public offers many…

How Does the JOBS Act Benefit A Foreign Issuer?

Securities Lawyer 101 Blog As the Securities and Exchange Commission (“SEC”) finishes the rule making that provides a structure for full implementation…

Section 16 Reporting & Going Public Transactions

Once the SEC staff declares a company’s Form S-1 registration statement effective in a going public transaction, the company becomes subject to Exchange Act…

Reefer Madness – More Indicted In Pot Stock Scams

Securities Lawyer 101 Blog On August 5, 2014, the Attorney’s Office for the Western District of Washington announced criminal charges against Mikhail…

Court Awards SEC Judgments Of Almost $70 Million Against Defendants

Securities Law Blog On August 9, 2014, the SEC announced that the U.S. District Court for the Eastern District of Tennessee issued…

Crucible Capital and Chuck Moore Indicted for Obstructing SEC Investigation

On August 9, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against Chuck Moore and Crucible Capital Group, a New…

SEC Charges Julian Brown and Bahamian Brokerage Firm, Alliance Investment Management

Securities Law Blog On August, 8, 2014, the Securities and Exchange Commission (“SEC”) announced charges against Julian Brown and his firm Alliance…

What Are Seed Stockholders? Going Public Lawyer

Securities Lawyer 101 Blog The going public process involves a number of steps that vary depending on the characteristics of the private…

Prospectus Disclosure Requirements – Going Public Attorneys

The prospectus is the most important document of a public offering. The prospectus is the document provided to investors in the issuer’s offering.…

Officer and Director Disclosure of Background Matters

Securities Lawyer 101 Blog The securities laws require that public companies provide disclosure about the backgrounds of its officers and directors 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/