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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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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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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SEC Charges Tibor Klein and Michael Shechtman With Insider Trading
Securities Lawyer 101 Blog Continuing its crackdown on violators of insider trading laws, on September 20, 2013 the Securities and Exchange Commission…
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SEC Charges ImageXpres and John and Kevin Zankowski With Securities Fraud
Securities Lawyer 101 Blog On September 25, 2013, the Securities and Exchange Commission (“SEC”) charged ImageXpres Corporation (ImageXpres), its CEO and president…
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SEC Charges South Florida Boiler Room Operators in NFL Scam
Securities Lawyer 101 Blog On September 26, 2013, the Securities and Exchange Commission (“SEC”) charged two Floridians, Peter Kirschner and Stuart Rubens,…
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SEC Suspends Trading in Left Behind Games and Charges Founder Troy Lyndon
Securities Lawyer 101 Blog On September 25, 2013, the Securities and Exchange Commission (the “SEC”) brought three enforcement actions against penny stock…
Read MoreCourt Finds CMKX Transfer Agent Not Substantial Participant in Fraud
Securities Lawyer 101 Blog On September 10, 2013, the Ninth Circuit Court of Appeals rejected the Security and Exchange Commission’s argument that…
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California Attorney David Tamman Sentenced to Seven Years in Securities Fraud Case
Securities Lawyers Gone Wild Blog On 23 September 2013, the U.S. Attorney’s Office for the Central District of California announced that attorney…
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General Solicitation and Advertising Under Rule 506
Securities Lawyer 101 Blog As of September 23, 2013, the Securities and Exchange Commission (“SEC”) rules implementing some provisions of the JOBS Act became…
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SEC Proposes Pay Ratio Disclosure Rule in Compliance with Dodd-Frank Act
Securities Lawyer 101 Blog On September 18, 2013, the Securities and Exchange Commission (“SEC”) voted to propose a new rule that would…
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SEC Charges Three in Assured Capital High Yield Investment Scam
Securities Lawyer 101 Blog On September 20, 2013, the Securities and Exchange Commission (“SEC”) charged Jennifer Hoffman and John Boschert, former principals of…
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FBI Arrests Securities Attorney and Stock Promoter in Texas
Securities Lawyers Gone Wild Blog On September 19, 2013, the Dallas Division of the Federal Bureau of Investigation (“FBI”) announced the unsealing…
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Rule 506 Offerings Q & A l Securities Lawyer 101
Securities Lawyer 101 Blog Private placement offerings under Rule 506 of Regulation D of the Securities Act of 1933, as amended (the “Securities…
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Ohio Shuts Down Crowdfunding Website SoMoLend
Securities Lawyer 101 Blog Since the JOBS Act became law, numerous crowdfunding websites have popped up on the internet. This month, the…
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The Role of Legal Opinions in the CMKM Fraud
Securities Lawyer 101 Blog In the penny stock markets it has become almost common practice for restricted stockholders to attorney shop for…
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FINRA Issues Risk Alert For Rule 506 Private Placements
Securities Lawyer 101 Blog On September 17, 2013, The Financial Industry Regulatory Authority (“FINRA”) issued an investor alert concerning Rule 506 private placement…
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SEC Issues Trading Suspension of the Securities of PacWest Equities
Securities Lawyer 101 Blog On September 17, 2013, the Securities and Exchange Commission (“SEC”) issued a trading suspension of the common shares of PacWest…
Read MoreWhat is Depository Trust Company? DTC Requirements and Eligibility
Securities Lawyer 101 Blog Q. What is The Depository Trust Company (DTC)? A. It is the only stock depository in the United…
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Going Private Attorneys – Securities Lawyer 101
The Sarbanes-Oxley Act, the declining U.S. economy and increasing legal, auditing and other compliance costs reduced the number of issuers electing to…
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How Can I Go Public Via a Slow PO?
Securities Lawyer 101 Blog Many owners of small businesses give thought to going public, but wonder if the risks and the expense…
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Conducting An EB-5 Offering Under Rule 506 of Regulation D
The EB-5 offering program was created by the U.S. Congress as part of the Immigration Act of 1990 to stimulate the U.S.…
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Mary Jane’s Last Dance l FINRA Marijuana Scam Alert
Both the SEC and FINRA have published risk alerts for investors, “medical marijuana is legal in almost 20 states, and recreational use of the drug…
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Why Do I Have To Hire a Transfer Agent When Going Public? – Going Public Lawyers
Transfer agents play a key role in the going public process. Transfer agents are the record keeper for a company’s securities. Share ownership is…
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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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