SEC Awards Whistleblower Bounty
Securities Lawyer 101 Blog On October 31, 2013, the Securities and Exchange Commission (the “SEC”) announced an award of more than $150,000 to…
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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 Issues Trading Suspension of PVEN’s Common Shares
Securities Lawyer 101 Blog On October 30, 2013, the SEC announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act…
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FINRA Issues Crowdfunding Portal Proposals l Securities Lawyer 101
Securities Lawyer 101 Blog On October 25, 2013, FINRA announced the release a set of proposed crowdfunding portal rules and forms for…
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Due Diligence in the Going Public Process l Going Public Attorneys
Securities Lawyer 101 Blog Private companies in going public transactions seeking to have their securities quoted on the OTC Markets OTCQB must…
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What Is the Registration Statement Quiet Period ?
Securities Lawyer 101 Blog Companies going public by filing a registration statement on Form S-1 under the Securities Act of 1933, as…
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Going Public For Foreign Private Issuers
Securities Lawyer 101 Blog The securities laws provide numerous benefits to issuers who qualify as foreign private issuers. Among those benefits are…
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SEC Issues Proposals On Crowdfunding
Securities Lawyer 101 Blog On October 23, 2013, the Securities and Exchange Commission (“SEC”) voted unanimously to propose rules under the JOBS…
Read MoreMan Arrested In Leonard McCoy Themed Medical Device Scheme
Securities Lawyer 101 Blog On October 22, 2013, Howard Leventhal was arrested by the FBI for defrauding a Florida company of $800,000…
Read MoreSEC Issues Trading Suspenion of Crown Alliance
Securities Lawyer 101 Blog On October 22, 2013, the Securities and Exchange Commission (“Commission”) announced the temporary suspension, pursuant to Section 12(k)…
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SEC Issues Trading Suspension of ARX Gold
Securities Lawyer 101 Blog On October 22, 2013, the SEC announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange…
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SEC Issues Trading Suspension of the Securities of High End Ventures
Securities Lawyer 101 Blog On October 21, 2013, the Securities and Exchange Commission (the “SEC”) announced the temporary suspension of trading in the…
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SEC Takes Action Against Potential Short Sellers For Manipulation
Securities Lawyer 101 Blog On September 16, 2013, the Securities and Exchange Commission (the “SEC”) brought enforcement actions against more than 20…
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SEC Chairman Mary Jo White Addresses SEC Disclosure Requirements
Securities Lawyer 101 Blog On October 15, 2013, Mary Jo White, new chairman of the Securities and Exchange Commission (“SEC”), delivered a…
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SEC Charges China Based Chicken Provider
Securities Lawyer 101 Blog On October 18, 2013, the Securities and Exchange Commission (the “SEC”) charged Yuhe International, Inc. (“Yuhe”), a China-based…
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NASAA Releases 2013 Top Ten Financial Frauds List
Securities Lawyer 101 Blog The North American Securities Administrators Association (“NASAA”) recently released a list of the the 2013 Top Ten financial…
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SEC Shuts Down Pyramid Scheme Targeting Asian-American Community
On October 17, 2013, the Securities and Exchange Commission (the “SEC”) announced charges and asset freezes against the operators and promoters of…
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What Stock Can Be Registered On Form S-8?
Form S-8, Form S-8, Form S-8 Registration, Form S-8 Registration Statement, SEC Form S-8,
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Canadians Investigate Sandy Winick Associates
Securities Lawyer 101 Blog The Department of Justice (“DOJ”) prosecution of Sandy Winick and eight co-conspirators for financial crimes, announced in August…
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DOJ and Swiss Federal Department of Finance Reach Agreement
Securities Lawyer 101 Blog In late August 2013, as part of its continuing crackdown on U.S. tax evaders, the Department of Justice…
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FINRA Addresses Financial Fraud
Securities Lawyer 101 Blog In September 2013, the Financial Industry Regulatory Authority (“FINRA”), with the help of the National Center for Victims…
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SEC Market Data Website Debuts l Securities Lawyer 101
Securities Lawyer 101 Blog On October 9, 2013, the SEC made new market data and analysis tools available at a special section…
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SEC Does Not Act on 20 Percent of Wells Notices Issued
Securities Lawyer 101 Blog When the Securities and Exchange Commission (“SEC”) substantially completes an investigation into violations of the securities laws, it…
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Panama Enacts New Bearer Shares Law
Securities Lawyer 101 Blog On July 29, 2013, the Panamanian National Assembly enacted a law that “sets forth a custody regime applicable…
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SEC Brings Enforcement Action in EB-5 Visa Program Investment Scam
Securities Lawyer 101 Blog Like many other countries, the United States offers potential immigrants preferential treatment—in the form of conditional visas and…
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Zombie Ticker Mistaken for Twitter, Is Halted by FINRA
Securities Lawyer 101 Blog Sometimes dormant stocks—often called Zombie Tickers—run for no reason at all, but when Tweeter Home Entertainment Group took…
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Whistleblower Award $14 Million Bounty By SEC
Securities Lawyer 101 Blog On October 1, 2013, the Securities and Exchange Commission (the “SEC”) announced it had awarded more than $14 million…
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Wedding Singer Charged by the SEC with Fraud
Securities Lawyer 101 Blog The Securities and Exchange Commission (the “SEC”) brought a securities fraud enforcement action against an Oklahoma wedding singer…
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Can I List On the OTC Pinks Using a Reverse Merger? Going Public Lawyers
Securities Lawyer 101 Blog One way for private companies to go public is through a Reverse Merger (“Reverse Merger”) with a public shell…
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SEC Charges Three Penny Stock Auditors
Securities Lawyer 101 Blog On September 30, 2013, the SEC charged three penny stock auditors, Malcolm L. Pollard, Wilfred W. Hanson and…
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DTC Proposes Procedures For DTC Chills and Global Locks
The Depository Trust Company is a subsidiary of The Depository Trust & Clearing Corporation (“DTCC”), and is the central securities depository in…
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