SEC Comment and Review Process l Going Public Bootcamp
Securities Lawyer 101 Blog The Securities and Exchange Commission’s (the “SEC’s“) Division of Corporation Finance reviews filings including registration statements filed pursuant…
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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
Can I Raise Money From Investors Who Are Not “Accredited Investors”? Introducing The Slo-PO Method
Securities Law Blog A question we frequently receive from entrepreneurs raising capital for the first time is whether can raise money from…
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Investor Relations Providers Indicted For Growlife and Hemp, Inc. Pumps
Three investor relations providers have been indicted for manipulating the securities of several microcap companies, including two marijuana-related stocks, Growlife and Hemp,…
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Rule 147 l The Intrastate Exemption
Securities Lawyer 101 Blog Section 3(a)(11) of the Securities Act of 1933, as amended (“Securities Act”), is generally known as the “intrastate…
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Kevin McKnight and Company He Promoted Charged With Fraud
Securities Lawyer 101 Blog On August 4, 2014, the Securities and Exchange Commission (“SEC”) announced an administrative proceeding against Kevin McKnight and…
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Rule 144 Legal Opinion Checklist l Securities Lawyer 101
Securities Lawyer 101 Blog The Securities Act of 1933, as amended (the “Securities Act”) requires the sale of a security to be…
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What is a Penny Stock Bar? Securities Lawyer 101
To understand penny stock bar, it is necessary to be familiar with the definition of penny stock. Many penny stock market participants…
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State Blue Sky Laws & Securities Regulators
Securities Lawyer 101 Blog The Securities and Exchange Commission (the “SEC”) is the federal agency that regulates the securities industry. In addition…
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FINRA Seeks to Make Form 211 Information Publicly Available
Securities Lawyer 101 Blog FINRA is soliciting comment on its proposal to make publicly available through FINRA’s website a repository of Form…
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SEC Charges CEO & CFO with Sarbanes-Oxley Violations
Securities Lawyer 101 Blog On July 31, 2014, the Securities and Exchange Commission (the “SEC”) announced charges against Marc Sherman, the CEO…
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Whistleblowers Gone Wild
Nearly everyone believes the Securities and Exchange Commission’s Whistleblower Program under the Dodd Frank Act is a good idea. By the agency’s account,…
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Securities Lawyers Gone Wild – Bernard Butts
Securities Lawyer 101 Blog On July 15, 2014, the Securities and Exchange Commission announced that a federal judge ordered a Miami-based attorney…
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Frank Speight and International Stock Transfer Charged
Securities Lawyer 101 Blog On July 24, 2014, the Securities and Exchange Commission (the”SEC”) and Department of Justice announced charges against Frank-Speight (Cecil Franklin…
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Carolyn Winsor Apprehended by U.S. Authorities
Securities Lawyer 101 Blog On June 27, 2014, Caroline Winsor, also known as Caroline Meyers and Caroline Danforth was apprehended and is in…
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What is a Confidential Treatment Request?
An issuer filing a registration statement with the Securities and Exchange Commission (the “SEC”) that desires to keep certain information confidential and…
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The SEC’s Oversight of the Registration Statement Process
Securities Lawyer 101 Blog The Securities and Exchange Commission (“SEC”) is the key regulator of going public transactions, securities offerings and securities…
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Company Website Requirements for Periodic Reports
Securities Lawyer 101 Blog It has become almost routine for publicly traded companies to use their websites to provide information to investors.…
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Pending JOBS Act Proposals – Securities Lawyer 101
Securities Law Blog The Jumpstart Our Business Startups Act (or JOBS Act) (the “JOBS Act”), enacted in 2012, is intended, among other…
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SEC Charges Investor Relations Provider, Kevin McGrath
Securities Law Blog On July 22, 2014, the Securities and Exchange Commission (the “SEC”) charged a partner at a New York-based investor…
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SEC Charges Brokers and Codesmart Executive in Pump-And-Dump Scheme
On July 17, 2014, the SEC charged individuals who pocketed millions of dollars running an elaborate pump-and-dump scheme involving shares of a…
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SEC Charges Christopher Plummer & Cex Cowsert in Vaccine Development Scam
On July 18, 2014, the Securities and Exchange Commission (“SEC”) charged what it described as a serial con artist and a penny…
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What is Regulation D? Going Public Lawyers
Under the Securities Act of 1933, any offer to sell securities must either be registered with the SEC or meet an exemption.…
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Can I Use Rule 504 to Issue Free Trading Stock? Securities Lawyer 101
Rule 504 of Regulation D provides an exemption from the registration requirements of the federal securities laws for some companies when they offer and…
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NASAA Forms List
The North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection. NASAA is a voluntary association whose membership consists…
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SEC Forms List
1 Application for registration or exemption from registration as a national securities exchange (pdf) 1-A Regulation A Offering Statement (pdf) 1-E Notification…
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Why Do We Invest? Investor Studies – Going Public Lawyers
Why do we invest? Below are individual investor studies conducted by researchers from multiple University’s and Agencies along with the FINRA Investor…
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FINRA Arbitrators
FINRA arbitrators—neutral, qualified individuals who are essential in maintaining a fair, impartial and efficient system of arbitration—serve as decision makers, weighing the…
Read MoreInvestor Education Links
Federal Board of Governors of the Federal Reserve System Commodity Futures Trading Commission Federal Trade Commission FedWorld Financial Literacy Education Commission…
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Canadian Securities Regulation – Going Public Lawyers
Canadian Securities Regulation is established by the 10 provinces and 3 territories in Canada are responsible for securities regulations. Each province and territory has…
Read MoreState Securities Regulators
State Securities Regulators While the SEC regulates and enforces the federal securities laws, each state has its own securities regulator who enforces…
Read MoreBlogroll & Resources
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.
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https://www.finra.org/JOBS Act 101
https://www.jobsact101.com/Go Public 101
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https://www.otcmarkets.com/Securities Lawyer 101 Blog
https://ppe.securitieslawyer101.com/blog/Securities & Exchange Commission
https://www.sec.gov/Securities Lawyer 101 Newsletter
https://ppe.securitieslawyer101.com/newsletters/Ask Securities Lawyer 101 Series
https://ppe.securitieslawyer101.com/ask-securitieslawyer101-series/Securities Law Presentations & Videos
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