SEC Director Keith Higgins Addresses Rule 506 (c)
Securities Lawyer 101 Blog On March 28, 2014, Keith Higgins, the Director of the SEC’s Division of Corporation Finance, delivered a speech…
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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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Securities Lawyers Gone Wild l John Silvia Indicted
Securities Lawyer 101 Blog On March 28, 2014, the FBI announced that John Silvia, 55, purportedly the “managing member” of Richardson Consulting…
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What is a Wells Notice ? Securities Lawyer 101
Securities Lawyer 101 Blog After the staff of the Securities and Exchange Commission (“SEC”) Division of Enforcement staff has completed its investigation, it may…
Read MoreSEC Charges L&L Energy and Its Managment
Securities Lawyer 101 Blog On March 27, 2014, the Securities and Exchange Commission announced fraud charges against a Seattle-headquartered coal company, L&L…
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SEC Suspends Advanced Cannabis Solutions
On March 27, 2014, the Securities and Exchange Commission (“Commission”) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange…
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OTCQB Fees & Listing Requirements
OTC Markets Group has announced it is making significant changes to its OTCQB. Companies seeking to be quoted on the OTCQB will…
Read MoreWhistleblower Awarded $64 Million in JPMorgan Case
A former JPMorgan Chase employee, Keith Edwards, is about to receive nearly $64 million for whistleblowing. Much has been written recently about…
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How Can I Invest In An EB-5 Offering? Going Public Lawyers
The EB-5 investor visa program has become increasingly popular since Rule 506 (c) became law, allowing issuers to advertise their offerings to…
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Reverse Merger and Public Float Scams l Securities Lawyer 101
Securities Lawyer 101 Blog When companies go public, insiders often employ various mechanisms to control the company’s free trading shares also known…
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Hamilton & Associates to Publish OTC Pink Paper Series
Securities Lawyer 101 Blog BOCA RATON, Fla., March 21, 2014 /PRNewswire/ — Due to the fundamental changes in 2013 that continue to shape the…
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SEC Suspends Citadel After Pumps and Dumps Report
Securities Lawyer 101 Blog On March 21, 2014, the Securities and Exchange Commission issued a trading suspension pursuant to Section 12(k) of…
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What is a Finder?
Securities Lawyer 101 Blog It is not unusual for a private or public company to be approached by person (“Finder”) who offers to locate…
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SEC Continues Trading Suspensions to Prevent Reverse Merger Custodianship Fraud
On March 21, 2014, the Securities and Exchange Commission (the “SEC”) announced the trading suspension of trading of the following issuers, commencing…
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SEC Suspends Petrotech Oil and Gas l Securities Lawyer 101
On March 14, 2014, the Securities and Exchange Commission (“SEC”) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange…
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Securities Lawyer 101 Announces Redesigned Securities Law Blog
Securities Lawyer 101 Blog Hamilton & Associates, a law firm providing going public and securities related legal services announces its newly designed securities…
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Albert Reda Sentenced to 26 Months
Securities Lawyer 101 Blog Albert Reda, the former treasurer and chairman of the board of directors of First Global Financial Corporation, was…
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Offering Price & Dilution Disclosures in Registration Statements
Securities Lawyer 101 Blog Companies going public have several options in how to structure their transaction when filing a Form S-1 registration…
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Use of Proceeds In Form S-1 Registration Statements
Companies going public have several options in how to structure their transaction when registering securities with the Securities and Exchange Commission (“SEC”). …
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Securities Lawyers Gone Wild l Russell Adler Charged
On March 7, 2014, Russell Adler, a former name partner in Scott Rothstein’s now-defunct law firm was criminally charged for funneling illegal…
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What Are the Reporting Obligations After My Form S-1 ls Effective?
Once the SEC staff declares your company’s Securities Act registration statement effective, the company becomes subject to Exchange Act reporting requirements. These…
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John Babikian & Awesome Penny Stocks Charged in Scalping Scheme
Securities Lawyer 101 Blog On March 13, 2014, the Securities and Exchange Commission (“SEC”) announced fraud charges and an emergency asset freeze…
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What is Form S-1 Summary Information? Securities Attorney 101
Securities Lawyer 101 Blog Form S-1 is the most commonly used registration statement statement filing with the Securities and Exchange Commission (“SEC”). This…
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Wwebnet CEO Pleads Guilty of $2 Million Securities Fraud
On March 11 ,2014, the Department of Justice announced that Robert Kelly, the chief executive officer of Wwebnet, Inc. (“Wwebnet”), a software…
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Status of JOBS Act Rules & Proposals
The Jumpstart Our Business Startups Act (or JOBS Act) (“JOBS Act”), enacted in 2012, is intended, among other things, to reduce barriers…
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SEC Announces $7.2 Million for Rule 105 Short Selling Violations
Securities Lawyer 101 Blog On March 8, 2014, the Securities and Exchange Commission announced the largest-ever monetary sanction for Rule 105 short…
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The Intrastate Exemption l Section 3(a)(11)
Securities Lawyer 101 Blog Section 3(a)(11) of the Securities Act is generally known as the “intrastate offering exemption.” The exemption is sometimes…
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SEC Suspends Global Earth Energy l Securities Lawyer 101
Securities Lawyer 101 Blog On March 4, 2014, the Securities and Exchange Commission (“SEC”)announced the temporary suspension, pursuant to Section 12(k) of…
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SEC Suspends Broadcast Live Digital l Securities Lawyer 101
Securities Lawyer 101 Blog On March 4, 2014, the Securities and Exchange Commission (“SEC”) announced the temporary suspension, pursuant to Section 12(k)…
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SEC Suspends Suburban Minerals Corp
Securities Lawyer 101 Blog On March 4, 2014, the Securities and Exchange Commission (“SEC”) announced the temporary suspension, pursuant to Section 12(k)…
Read MoreSEC Obtains Summary Judgment Against StratoComm Penny Stock Defendants
Securities Lawyer 101 Blog On February 19, 2014, the United States District Court for the Northern District of New York in Albany,…
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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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