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 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…

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…

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…

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…

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…

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…

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…

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:…

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/