New York State Prepares to Regulate Bitcoin By: Brenda Hamilton, Attorney
Securities Lawyer 101.com The New York State Department of Financial Services (NYDFS) has stated that it will consider proposals for a regulated…
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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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SEC Obtains Preliminary Injunction Against John Babikian
Securities Lawyer 101 Blog On April 20, 2014, the Securities and Exchange Commission (the “SEC”) was granted an injunction imposing an asset…
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SEC Issues Stop Order For Comp Service’s Registration Statement
On April 23, 2014, the Securities and Exchange Commission (“SEC”) issued a stop order to prevent a Northern California-based company from issuing…
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SEC Charges Chris Choi & Poker Player Danny Kuo
On April 23, 2014, the Securities and Exchange Commission(“SEC”) filed insider trading charges against a former accounting manager at Nvidia Corp. who tipped…
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SEC Charges Robert Vitale l Posted by Brenda Hamilton Attorney
Securities Lawyer 101 Blog On April 23, 2014, the Securities and Exchange Commission (“SEC”) filed fraud charges against a former Florida-based stock promoter…
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SEC Charges Hedge Fund Manager
Securities Lawyer 101 Blog On April 4, 2014, the Securities and Exchange Commission filed suit in United States District Court in Dallas,…
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SEC Charges Dr. Loretta Itri with Insider Trading of Genta
Brenda Hamilton, Securities Attorney On April 21, 2014, the Securities and Exchange Commission (the “SEC”) charged a former biopharmaceutical company executive and…
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SEC Guidance on Rule 147 Intrastate Offerings & Crowdfunding
On April 10, 2014, the Securities and Exchange Commission (“SEC”) issued a revised compliance and disclosure interpretation (“C&DIs”) and provided two new…
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Contemporaneous Private & Public Offerings l Going Public Lawyers
Securities Lawyer 101 Blog Issuers often require capital during the going public process for their operations until their registration statement on Form S-1 is…
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Smaller Reporting Companies In Going Public Transactions
Securities Lawyer 101 Blog The Securities Act of 1933, as amended (“Securities Act”) and the Securities Exchange Act of 1934, as amended…
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SEC Brings Insider Trading Charges in Connection With Deepwater Horizon Oil Spill
On April 17, 2014, the Securities and Exchange Commission charged a former employee of BP p.l.c. and a senior responder during…
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SEC Charges Telexfree in Pyramid Scheme Immigrants l By Brenda Hamilton Attorney
Securities Lawyer 101 Blog On April 17, 2014, the Securities and Exchange Commission (the “SEC”) announced it filed charges against the Massachusetts-based…
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The Use of Testimonials in Social Media by Investment Advisers
Generally, SEC rules prohibit investment advisers from using testimonials in their advertisements. In the past several years, the SEC has encountered a…
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Forex Scams 101 l Brenda Hamilton, Attorney
Securities Lawyer 101 Blog The Commodity Futures Trading Commission (CFTC) and the North American Securities Administrators Association (NASAA) warn that off-exchange forex…
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Section 302 and 906 Certifications l Brenda Hamilton Attorney
Securities Lawyer 101 Blog Chief Executive Officers (“CEO”) and Chief Financial Officers (“CFO”) of public companies must certify the issuer’s annual report…
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The Laws That Apply to Finders l Securities Lawyer 101
Securities Lawyer 101 Blog Companies seeking capital are frequently approached by finders who offer to locate investors in exchange for a fee. …
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U.S. Issues Indictment Against Caribbean Money Laundering Operators
Securities Lawyer 101 Blog Joshua Vandyk, a U.S. citizen, and Eric St-Cyr and Patrick Poulin, Canadian citizens, were indicted for conspiracy to…
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Summary Financial Information in Form S-1 Registration Statements
Securities Lawyer 101 Blog Under the JOBS Act, an Emerging Growth Company may provide two years of summary financial information in its SEC…
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Form S-1 Risk Factor Disclosures l Securities Lawyer 101
Securities Lawyer 101 Blog The Securities Act of 1933 is often called the “truth in securities” law. It has two basic objectives:…
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SEC Suspends Grow Life l PHOT
Securities Lawyer 101 Blog On April 10, 2014, the U.S. Securities and Exchange Commission (“SEC”) announced the trading suspension, pursuant to Section…
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Beware of False Claims About Registration Statements
Securities Lawyer 101 The SEC issued a recent investor alert to warn the public about potentially fraudulent investment schemes that involve individuals…
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Criminal Prosecution in Corporate Hijackings
Securities Lawyer 101 Blog The Justice Department has selectively pursued criminal charges against fraudsters using corporate hijackings for illegal takeovers of publicly traded…
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Corporate Hijackings & The Assault On Small Companies
Securities Lawyer 101 Blog Corporate hijackings, also known as corporate identity theft, of public shell companies has been around for more than a…
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SEC Charges Joseph Signore in Ponzi Scheme
Securities Lawyer 101 Blog On April 8, 2014, the Securities and Exchange Commission announced fraud charges and an asset freeze against the operators…
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SEC Charges Empire Stock Transfer l Securities Lawyer 101 Blog
Securities Lawyer 101 Blog On April 8, 2014, the Securities and Exchange Commission announced enforcement actions against two leaders at a Las…
Read MoreSEC Settles Fictitious Offering Case Against Mia Baldassari
Securities Lawyer 101 Blog The Securities and Exchange Commission (SEC) announced that on March 4, 2014, Judge Rosemary Collyer entered a final…
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SEC Charges Firm with Spoofing & Layering
Securities Lawyer 101 Blog On April 4, 2014, the Securities and Exchange Commission charged Joseph Holmdel and others, including a New Jersey based…
Read MoreSEC Charges Two Friends With Insider Trading of Chicago Bridge & Iron
Securities Lawyer 101 Blog On April 4, 2014, the Securities and Exchange Commission charged two friends with insider trading on confidential information…
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SEC Charges Two With Insider Trading
Securities Lawyer 101 Blog On March 31, 2014, the Securities and Exchange Commission (“SEC”) announced two separate cases against men who profited…
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Promoters Indicted in Connection with Super Nova Resources
On April 1, 2014, United States Attorney Zane David Memeger announced an indictment charging a market manipulation scheme against six defendants in connection…
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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
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