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…
Read MoreBlog
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
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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.…
Read More
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…
Read More
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…
Read More
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…
Read More
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,…
Read More
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…
Read MoreKevin 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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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,…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
Read More
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.…
Read More
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…
Read More
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…
Read More
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…
Read More
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…
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/Go Public 101
https://www.gopublic101.com/OTC Markets
https://www.otcmarkets.com/Securities Lawyer 101 Blog
https://www.securitieslawyer101.com/blog/Securities & Exchange Commission
https://www.sec.gov/Securities Lawyer 101 Newsletter
https://www.securitieslawyer101.com/newsletters/Ask Securities Lawyer 101 Series
https://www.securitieslawyer101.com/ask-securitieslawyer101-series/Securities Law Presentations & Videos
https://www.securitieslawyer101.com/securities-law-video-series/