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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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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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…
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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…
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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…
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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