SEC Announces Tick Size Plan
Securities Law Blog On June 25, 2014, the Securities and Exchange Commission (the “SEC”) announced its tick size plan whereby it ordered…
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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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Regulation S-K Item 202 Securities Law Blog
Issuers filing registration statements on Form S-1 for direct public offerings in their going public transactions must comply with Regulation S-K Item 202. Item 202 requires expansive disclosure…
Read MoreRegulation S-K Item 509
Securities Law Blog Issuers filing registration statements on Form S-1 for direct public offerings in their going public transactions must comply with Regulation S-K Item 509. Item 509…
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FINRA Brings Transparency to Rule 144A Corporate Debt Transactions
On June 30, 2014, the Financial Industry Regulatory Authority (“FINRA”) began publicly disseminating Rule 144A transaction data in corporate debt securities, bringing…
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FINRA Fines Goldman Sachs Execution & Clearing $800,000
Securities Lawyer 101 Blog On July 1, 2014, the Financial Industry Regulatory Authority (“FINRA”) announced that it had fined Goldman Sachs Execution…
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Securities Lawyers Gone Wild – Marcus Luna
On June 27, 2014, the U.S. District Court of Nevada issued an order imposing sanctions against a securities attorney, Marcus Luna, three…
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SEC Charges 3 Regions Bank Executives
Securities Lawyer 101 Blog On June 25, 2014, the Securities and Exchange Commission (the “SEC”) announced fraud charges against three former senior…
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Being Publicly Traded By: The Going Public Lawyers
Securities Lawyer 101 Blog After an issuer completes its going public transaction, an issuer that has filed a registration statement for an…
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Regulation S-K Item 507 – Going Public Attorneys
Issuers filing registration statements on Form S-1 must provide the Information required by Item 507 of Regulation S-K. Selling security holder disclosures…
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FINRA Bars Success Trade Securities By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog This month Success Trade Securities was ordered to pay $13.7 million in restitution and expelled by a Financial…
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Transparency Bootcamp – Custodianship Disclosures In Reverse Mergers
Securities Lawyer 101 Blog Recently custodianship and/or receivership proceedings involving publicly traded companies have been in the spotlight because of the increasing…
Read MoreTransparency Bootcamp – BrokerCheck 101 By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog Any investor seeking to find out information about a penny stock should begin by investigating management, brokers and…
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SEC Extends DTC Proposal Period By: Brenda Hamilton
Securities Lawyer 101 Blog On December 5, 2013, The Depository Trust Company (“DTC”) submitted DTC proposals to change SR-DTC-2013-11 (“Proposed Rules”) pursuant…
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New OTCQB Requirements, Listing & Quotation – OTCQB Lawyer
Hamilton & Associates Law Group – Client Update The OTC Markets Group recently established new eligibility standards for the securities companies to…
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Form S-1 Going Public Bootcamp – Going Public Lawyers
The process of “going public” with a SEC registration statement is complex and at times precarious. While going public offers many benefits it also comes…
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Going Public Lawyer Insights About DPOI’s & IPO’s
A private company going public is subject to three federal securities laws, each with its own unique requirements. The three laws are…
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SEC Periodic Reports – Going Public Attorneys
Issuers become subject to the SEC’s periodic reporting requirements a number of ways including by filing a registration under the Securities Act…
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DPO-IPO Registration Statement Attorneys
Many private companies particularly small businesses are unable to locate an underwriter prior to filing a registration statement to go public. Registration…
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SEC Issues Trading Suspensions To Prevent Corporate Hijackings
On June 11, 2014, the U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of LifeHealthCare, Inc. (LFHE), Smartlinx, Inc.…
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SEC Initiates Proceedings Against Six Issuers to Prevent Corporate Hijackings
This week the Securities and Exchange Commission (“Commission”) announced it deemed it necessary and appropriate for the protection of investors that public administrative…
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SEC Reinstates Richard Hylland, CPA to Practice Before the Commission
Securities Lawyer 101 Blog On June 11, 2014, the Securities and Exchange Commission (the “SEC”) announced that it had reinstated Richard Hylland,…
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SEC Charges Robert Acri – Chicago Securities Attorney
On June 12, 2014, the Securities and Exchange Commission (the “SEC”) charged a securities attorney and founder of an investment advisory…
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SEC Charges Reverse Merger Purveyors By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog On May 5, 2014, the Securities and Exchange Commission (the “SEC”) charged a Toronto-based consultant and four associates…
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Fugitive Fraudster Aubrey Price Pleads Guilty
Posted by Brenda Hamilton Securities Attorney On June 5, 2014, fugitive banker Aubrey Price plead guilty to bank, securities and wire…
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$875,000 Awarded to SEC Whistleblower By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog This week the Securities and Exchange Commission (the “SEC”) announced a whistleblower award of more than $875,000 to be…
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Unregistered Broker-Dealer Activity on the Rise By: Brenda Hamilton
The Securities and Exchange Commission (“SEC”) Division of Enforcement is pursuing unregistered broker-dealer activity which runs rampant in the penny stock markets. …
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SEC Charges John Bensen & DGSE Companies By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog On May 27, 2014, the Securities and Exchange Commission (“SEC”) announced accounting fraud charges against a Dallas-based company…
Read MoreGendarme & Ezat Rahimi Settle SEC Charges
Settlements have been approved resolving claims by the Securities and Exchange Commission against Gendarme Capital Corporation, its former principal, Ezat Rahimi, and…
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SEC Obtains Judgment Against Inofin Management By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog On May 28, 2014, the Securities and Exchange Commission ( “SEC”) announced that the U.S. District Court for the…
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SEC Charges Transfer Agent, IST Shareholder Services By: Brenda Hamilton Attorney
Securities Lawyer 101 Blog On May 28, 2014, the SEC announced fraud charges and an emergency asset freeze against IST Shareholder Services, a…
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/