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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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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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…
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What 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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SEC Charges Indiana Man In Ponzi Scheme
Securities Lawyer 101 Blog Marcum, of Noblesville, Indiana, is the principal of Guaranty Reserves Trust, and was once a broker. He’s also…
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SEC Charges Free Rider Ronald Feldstein With Fraud
On September 3, 2013, the Securities and Exchange Commission (“SEC”) filed a fraud complaint in Federal District Court for the Southern District…
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California Man Sentenced to 64 Months For Securities Fraud
On 22 August 2013, Douglas Hollingsworth of Santa Rosa, California was sentenced to 64 months in prison for defrauding investors of…
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How Did the JOBS Act Change Form D? Going Public
Securities Lawyer 101 Blog On July 10, 2013, the SEC adopted final rules as required by Title II of the JOBS Act,…
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SEC Rewards Dodd-Frank Whistleblowers
On August 30, 2013, the Securities and Exchange Commission (the “SEC”) announced that it had awarded three whistleblowers for tips and information they…
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What is a Rule 506 Bad Actor Ban?
Securities Lawyer 101 Blog Companies seeking to raise capital through the sale of securities must either register the securities offering with the…
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Broker Accidentally Cold Calls State Securities Regulator
Securities Lawyer 101 Blog On August 28, 2013, the Arkansas Securities Department published a Consent Order by the terms of which Junmo…
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Anti-Fraud Provisions Apply To Reverse Merger and Public Float Schemes
Securities Lawyer 101 Blog When companies go public through reverse merger transactions, insiders often employ various mechanisms to obtain not only control…
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Going Public Law
Securities Lawyer 101 Blog A private company going public is subject to three federal securities laws, each with its own unique requirements. …
Read MoreHow Does a Company Bring SEC Filings Current?
The Securities Exchange Act of 1934 (the “Exchange Act”) imposes ongoing disclosure obligations that include an obligation to file periodic reports on Form…
Read MoreSEC Obtains Judgment Against Jonathan Gilchrist
On August 15, 2013, the SEC obtained a summary judgment against Jonathan Gilchrist for violation of the antifraud and registration provisions of the…
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SEC Shuts Down John Marcum, Ponzi Scheme Targeting Retirees
Securities Lawyer 101 Blog On August 26, 2013, the Securities and Exchange Commission (the “SEC”) charged John K. Marcum with defrauding investors in a Ponzi…
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DTCC Identifies Cyber-Attacks as Most Significant Risk to Financial Markets
Securities Lawyer 101 Blog On August 7, Depository Trust & Clearing Corporation (DTCC) released a report identifying threats to the stability of the financial markets. DTCC considers cyber-attacks…
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Ask Securities Lawyer 101 l Rule 504 Q & A
Q. How Much Money Can I Raise In A Rule 504 Offering? A. The aggregate amount raised for an offering of securities…
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OTC Markets OTC Pink Listings l OTC Pink Lawyers
Securities Law Blog A private company seeking to go public can obtain a stock ticker or trading symbol assignment from the Financial…
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SEC Issues Stop Order For Registered Offering
Securities Lawyer 101 Blog The Securities and Exchange Commission (the “SEC”) issued an order to stop an initial public offering (IPO) by Counseling…
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SEC Prevents Corporate Hijackings By Suspending Zombie Tickers
Securities Lawyer 101 Blog On June 24, 2013, the Securities and Exchange Commission (“SEC”) instituted administrative proceedings to prevent corporate hijackings. The…
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Three Indicted In Precious Metals Scam
Securities Lawyer 101 Blog Manhattan District Attorney’s office has indicted Sean Robert Stropp , a/k/a “John Goldman,” a/k/a “Sean Roberts,” Karl Spicer and Ricardo…
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Penny Stock Fugitive Gregory Curry Arrested in Prachin Buri
Securities Lawyer 101 Blog On August 19, 2013, the Federal Bureau of Investigation circulated a new Wanted by the FBI poster to…
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/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/Securities Lawyer 101 Newsletter
https://ppe.securitieslawyer101.com/newsletters/Ask Securities Lawyer 101 Series
https://ppe.securitieslawyer101.com/ask-securitieslawyer101-series/Securities Law Presentations & Videos
https://ppe.securitieslawyer101.com/securities-law-video-series/