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 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…

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…

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…

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,…

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…

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…

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…

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…

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…

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…

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/