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

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Proposals For DTC Chills and Global Locks WITHDRAWN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…

Geoffrey Eiten Ordered to Pay Over $700,000 In SEC Case

On October 8, 2014, the Securities and Exchange Commission (the “SEC”) announced that the U.S. District Court for the District of Massachusetts…

Robert Kelly Sentenced to 27 Months For Securities & Wire Fraud

On September 23, 2014, Robert Kelly, the former chief executive officer of Wwebnet, Inc. (“Wwebnet”), a software development company, was sentenced to…

SEC Addresses the Intrastate Crowdfunding Exemption

Securities Law Blog On October 2, 2014, the Securities and Exchange Commission issued an updated compliance and disclosure interpretation addressing intrastate crowdfunding…

What Are the Prospectus Delivery Requirements? Going Public

Under the Securities Act of 1933 as amended (the "Securities Act"), an issuer that conducts an initial public offering ("IPO") including in…

Dickson Lee of L&L Energy Pleads Guilty to Securities Fraud

On September 23, 2014, Dickson Lee, former CEO of Seattle-based L&L Energy, plead guilty to two counts of securities fraud. The plea…

Raising Capital and Going Public Guide

There are two primary sets of federal securities laws that come into play when a company wants to offer and sell its securities…

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…

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/

Nasdaq

https://www.nasdaq.com/newsroom

NYSE

https://www.nyse.com/markets/resources

Go Public 101

https://www.gopublic101.com/

OTC Markets

https://www.otcmarkets.com/

Securities Lawyer 101 Blog

https://www.securitieslawyer101.com/blog/