Securities Law and Going Public Blog

Blog

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

What Are Regulation Crowdfunding Disclosures?

Securities Lawyer 101 Blog On October 23, 2013, the Securities and Exchange Commission (“SEC”) proposed Regulation Crowdfund, setting forth the rules governing the…

Regulation Crowdfund For Investors

Securities Lawyer 101 Blog On October 23, 2013, the Securities and Exchange Commission (“SEC”) proposed Regulation Crowdfund, setting forth the rules governing…

How Does the JOBS Act Benefit Foreign Issuers? Going Public Lawyers

Securities Lawyer 101 Blog The JOBS Act offers incentives for foreign issuers seeking to go public and enter the U.S. capital markets…

What is a Bad Actor Under Regulation D?

Securities Lawyer 101 Blog On January 3, 2014, the Securities and Exchange Commission (the “SEC”) released Compliance and Disclosure Interpretations. The release…

Regulation Crowdfunding for Intermediaries

Securities Lawyer 101 Blog Regulation Crowdfunding provides for two types of intermediaries, the registered broker-dealer and the funding portal. Broker-dealers do not…

FINRA Orders Stifel, Nicolaus and Century Securities to Pay $1 Million

Securities Lawyer 101 Blog On January 9, 2014, the Financial Industry Regulatory Authority (FINRA) announced that it ordered two St. Louis-based broker-dealers, Stifel,…

SEC Announces 2014 Examination Priorities

Securities Lawyer 101 Blog On January 4, 2014, the Securities and Exchange Commission (“SEC”) announced its examination priorities for 2014, which cover…

SEC Issues New Rule 506 Guidance

Some of the shareholders of a Rule 506 issuer have entered into a voting agreement under which each shareholder agrees to vote…

Senators Request Pre-Filing of Form D

Securities Lawyer 101 Blog A fundamental principle of the federal securities laws is that the purchase or sale of a security must…

FINRA Develops System To Red Flag Customer Accounts

Securities Lawyer 101 Blog The Financial Industry Regulatory Authority is seeking comments about its Comprehensive Automatic Risk Data System (CARDS) that would…

How Regulation M Impacts Securities Offerings – Going Public Lawyers

Securities Lawyer 101 Blog Recently, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued guidance concerning Rule 105 (“Rule 105”) of…

How Do I Resell Restricted Stock Under Rule 144? l Securities Lawyer 101

Securities Lawyer 101 Blog It has become routine for public companies and private companies going public to mark their stock certificates with “Restrictive Legends”.…

Going Public in 2023

For many private companies, “going public” is about more than just raising capital. It’s a sign of accomplishment. Direct public offering (“DPO”)…

Celebrity Broker Bambi Holzer Barred by FINRA

Securities Lawyer 101 Blog Bambi Holzer, an author and former registered broker to numerous celebrities has been barred by Financial Industry Regulatory…

SEC Seeks Comment On DTC Proposals

Securities Lawyer 101 Blog On December 18, 2013, the SEC published a notice to solicit comments concerning The Depository Trust Company’s (“DTC”)…

SEC Charges Caroline Winsor l Securities Lawyer 101

Securities Lawyer 101 Blog The SEC has charged Caroline Winsor, a Canadian stock promoter, Richard Walchuk, the president and Chief Executive Officer…

SEC Charges Lance Berger l Securities Lawyer 101

Securities Lawyer 101 Blog According to the SEC, in December 2012, Lance Berger, a stock promoter for several penny stock companies, including…

The SEC Suspends The Enlightened Gourmet Inc.

Securities Lawyer 101 Blog On December 10, 2013, the Securities and Exchange Commission (the “SEC”) announced the temporary suspension of trading in the…

The SEC Releases 2013 Enforcement Results

Securities Lawyer 101 Blog On December 17, the Securities and Exchange Commission (“SEC”) announced that its newly-invigorated Enforcement Division had brought actions…

SEC Charges Stock Randy Hamdan and Oracle Consultants

Securities Lawyer 101 Blog On December 10, 2013, the Securities and Exchange Commission (the “SEC”) charged Randy Hamdan and a related entity,…

SEC Charges MALOM Group with Securities Fraud

Securities Lawyer 101 Blog The Securities and Exchange Commission filed securities fraud charges against MALOM Group AG, whose name is an acronym…

SEC Halts Oil And Gas Scheme l Securities Lawyer 101

Securities Lawyer 101 Blog On December 6, 2013, the Securities and Exchange Commission (the “SEC”) announced charges and an emergency asset freeze…

SEC Grants Waiver Of Rule 506 Bad Actor Ban

Securities Lawyer 101 Blog On November 25, 2013, the Securities and Exchange Commission granted a waiver of the ban against bad actors…

SEC Report Reveals Foreigners Among Dodd Frank Whistleblowers

Securities Lawyer 101 Blog The SEC’s 2013 Annual Report to congress on the Dodd-Frank whistleblower Program shows whistleblowers from 55 countries submitted…

SEC Suspends Trading of Nevada Gold Corp

Securities Lawyer 101 Blog On November 27, 2013, the Securities and Exchange Commission (the “SEC”) announced the temporary suspension, pursuant to Section…

Shell Traffickers Guilty in $137 Million Corporate Hijacking Scheme

Lawrence Hartman, a Florida securities lawyer, plead guilty to a charge of conspiracy to commit mail and wire fraud for his role…

SEC Issues Compliance and Disclosure Interpretation of Rule 506(c)

Securities Lawyer 101 Blog On November 13, 2013, the Securities and Exchange Commission (the “SEC”) Division of Corporation Finance issued several useful…

House Committee Passes Law Reducing Business-Broker Regulation

Securities Lawyer 101 Blog On November 14, 2013, the Financial Services Committee of the U.S. House of Representatives voted unanimously to report…

Foreign Issuers Embrace U.S. IPO Markets

Securities Lawyer 101 Blog As the number of U.S. companies launching initial public offerings (“IPOs”) by filing registration statements increased throughout 2013,…

SEC Announces First Deferred Prosecution Agreement

Securities Lawyer 101 Blog On November 12, 2013, the Securities and Exchange Commission (the “SEC”) announced a deferred prosecution agreement with Scott…

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/

JOBS Act 101

https://www.jobsact101.com/

Go Public 101

https://www.gopublic101.com/

OTC Markets

https://www.otcmarkets.com/

Securities Lawyer 101 Blog

https://ppe.securitieslawyer101.com/blog/

Securities & Exchange Commission

https://www.sec.gov/