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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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.
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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…
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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…
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What Are SEC Related Party Disclosures?
Securities Lawyer 101 Blog The Securities and Exchange Commission’s (the “SEC”) disclosure requirements for transactions with certain Related Persons are designed to…
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What is a Stock Promoter? Securities Lawyer 101
Securities Lawyer 101 Blog The securities laws contain specific rules and regulations that apply to issuers who use the services of promoters.…
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Disclosure Controls and Procedures & Internal Control Over Financial Reporting
Securities Lawyer 101 Blog Under the Sarbanes-Oxley Act, a company’s Chief Executive Officer and Chief Financial Officer must provide certifications in Form…
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SEC Charges Lawbreakers Who Secretly Ran Microcap Company
Posted by Securities Lawyer 101 Blog On July 16, 2014, the Securities and Exchange Commission announced SEC charges against James E. Cohen…
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Going Public Attorney Insights – Direct Public Offerings
A Going Public Attorney is an important part of the overall going public process. The issuer’s Going Public Attorney in the…
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The SEC Provides Guidance For Accredited Investor Verification
On July 3, 2014, the Securities and Exchange Commission (“SEC”) six compliance and disclosure interpretations (“CD&I”) providing guidance as to the accredited investor…
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SEC Periodic Reporting & Compliance
Securities Lawyer 101 Private and publicly traded companies that are reporting with the SEC must file periodic reports. Not all publicly traded…
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What Stock Can I Register on Form S-1?
Securities Lawyer 101 Blog A registration statement on Form S-1 can be used to register various types of securities offerings with the…
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SEC Charges Golfers in Scam By: Brenda Hamilton Lawyer
Securities Law Blog On July 11, 2014, the Securities and Exchange Commission announced charges against a group of golfing friends, who made…
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Direct Public Offering Toolbox l By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog For companies with a reasonable time schedule for going public, a direct public offering provides an appealing method…
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Five Charged with Attempted Manipulation of Amogear
Securities Lawyer 101 On July 14, 2014, the U.S. Attorney for the District of Massachusetts, and the Federal Bureau of Investigation today…
Read MoreSEC Obtains Judgment Against John Babikian
Securities Lawyer 101 Blog On July 8, 2012, the Securities and Exchange Commission announced (“SEC”) announced a final judgment against defendant John…
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Securities Lawyers Gone Wild – Charles Blackwelder Indicted
Charles Blackwelder, an Indiana lawyer and his daughter have been charged in connection with a $23 million Ponzi scheme that was allegedly…
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SEC Settles Action Against Noble Executives Mark A. Jackson and James J. Ruehle
On July 7, 2014, the Securities and Exchange Commission (SEC) announced that former Noble CEO Mark A Jackson and former Director and…
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The Role of the Crowdfunding Lawyer
Since the JOBS Act was signed into law in April 2012, market participants and observers have anticipated the release of the regulations…
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What is a Crowdfunding Attorney?
Since the JOBS Act was signed into law in April 2012, market participants and observers have anticipated the release of the regulations…
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The Role of the Go Public Attorney l Securities Lawyer 101
The role of the Go Public Attorney is one of the most important in the going public process. The Go Public Attorneys…
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The Role of the Going Public Attorney
The role of the going public attorney is one of the most important in the going public process. The going public attorneys…
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The Role of the Direct Public Offering Lawyer
One of the most efficient and cost effective ways to achieve public company status is by using a Direct Public Offering. The…
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The Exchange Act Lawyer’s Role In Going Public Matters
Securities Lawyer 101 Form 10 registration statements and Exchange Act reporting are required by Securities Exchange Act of 1934 (the “Securities Exchange…
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.
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/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
https://ppe.securitieslawyer101.com/securities-law-video-series/