Securities Law and Going Public Blog

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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.

Latest Blog Posts

Going Public Question & Answer l Ask Securities Lawyer 101

Going public is a big step for any company. The process of “going public” is complex and at times precarious. While going…

The JOBS Act l Rule 506

Securities Lawyer 101 Blog The Jumpstart Our Business Startups (“JOBS”) Act was signed into law by President Obama on April 5, 2012.…

The SEC Blacklists Bad Actors ln Rule 506 Offerings

Securities Lawyer 101 Blog On July 10, 2013, the SEC approved a rule banning the use of the Rule 506 exemption from…

Promissory Notes l Securities Lawyer 101

Securities Lawyer 101 Blog Private companies going public seek to raise capital for a variety of reasons. This capital may be sought…

Registration Statements l Going Public Lawyer

Securities Lawyer 101 Blog This blog post addresses the most common questions we receive about going public using Form S-1 and the…

What is the OTC Pink Current Tier? Going Public Lawyers

Securities Lawyer 101 Blog Q. What is the OTC Markets OTC Pink Current Tier? A. Companies on the Pink Sheets are assigned…

What Does Rule 506 of Regulation D Require? Going Public Lawyers

Securities Lawyer 101 Blog To offer and sell securities in the United States, an issuer must comply with the registration requirements of…

SEC Issues Trading Suspension of Norstra Energy

Securities Lawyer 101 Blog On June 26, 2013, the Securities and Exchange Commission (“SEC”) suspended trading in the stock of Norstra Energy,…

SEC Sues Imaging and CEO Dean Janes for Fraud

Securities Lawyer 101 Blog On June 26, 2013, the Securities and Exchange Commission (“SEC”) filed an enforcement action charging Imaging3, Inc. (IMGGQ),…

Rule 144 C & D l Ask Securities Lawyer 101

Securities Lawyer 101 Blog The SEC‘s Compliance and Disclosure Interpretations provide its interpretations of the rules adopted under the Securities Act of 1933, as amended…

SEC Suspends Biozoom After Publication of Private Report

Securities Lawyer 101 Blog On June 25, 2013, the Securities and Exchange (“SEC”) suspended trading in the securities of Biozoom, Inc. (BIZM). In…

Ask Securities Lawyer 101 l Financial Intermediaries

Securities Lawyer 101 Blog It is not unusual for a private or public company to be approached by financial intermediary (“Intermediary”) that offers to locate investors…

SEC Revokes Five Issuers to Prevent Reverse Merger Scams

Securities Lawyer 101 Blog On May 24, 2013, the Securities and Exchange Commission (“SEC”) revoked the registrations of Enercorp, Inc. (ENCP), FTS…

FINRA Prohibited Conduct l Broker-Dealer Lawyers

Securities Lawyer 101 Blog The Financial Industry Regulatory Authority (“FINRA”) require that broker-dealers and market makers observe “high standards of commercial honor…

Penny Stock CEO and Co-Conspirator Convicted of Securities Fraud

Securities Lawyer 101 Blog On May 3, 2013, in connection with an action that went unnoticed by most penny stock observers, the…

SEC Charges Ernesto Lujan and Direct Access Partenrs in Venezuelan Fraudulent Bond Kickback Scheme

Securities Lawyer 101 Blog In June 12, 2013, the Securities and Exchange Commission (“SEC”) brought an action against an additional defendant for his…

SEC Revokes Registration of Sunrise Solar

Securities Lawyers Gone Wild Series Securities Law 101 Blog Sunrise Solar’s most recent financial report filed was a 10-Q for the period…

China MediaExpress Charged with Securities Fraud

Securities Lawyer 101 Blog On June 20, 2013, the Securities and Exchange Commission (the “SEC”) brought yet another securities fraud enforcement action…

SEC Brings Charges in California Alzheimer’s Scam

Company President Lies to Investors Most people think of the Securities and Exchange Commission (“SEC”) as a regulator of publicly traded companies. …

Securities Lawyers Gone Wild – Michael Stewart

Securities Law 101 Blog On June 21, 2013, the Securities and Exchange Commission (“SEC”), suspended Michael Stewart, a California securities attorney, from…

San Diego Penny Stock Promoter Charged with Securities Fraud

In the latest twist to the Bermuda Short Sting of 2003, on June 19, 2013, the Securities and Exchange Commission (“SEC”) Division…

SEC Revokes Registration of 8 Issuers to Prevent Corporate Hijackings

Securities Lawyer 101 Blog On June 17, 2013, the Securities and Exchange Commission (“SEC”) revoked the registrations of the securities of Avani International…

GenMedx Inc. Changes and Ticker Symbol l Securities Lawyer 101

Securities Lawyer 101 Blog Boca Raton, Florida, May 20, 2013, GenMedx, Inc., a Nevada corporation announced its new name and trading symbol.…

What Are Short Sale Failures to Deliver?

Securities Lawyer 101 Blog In recent weeks, it has been claimed that microcap issuers are the target of rumor mongering by stock…

SEC Position on Use of Social Media – SEC Reporting – Going Public Attorneys

The use of social media is a growing concern with new exemptions that allow issuers to engage in general solicitation and advertising…

How Do Reverse Splits Affect My Shares? Going Public

Reverse stock splits are often used by public companies to reduce the amount of securities outstanding. Reverse splits are also used by…

OTCQX Eliminates Penny Stocks l Securities Lawyer 101

Securities Lawyer 101 Blog The OTCMarkets describes its OTCQX marketplace as the premier tier of the U.S. Over-the-Counter (OTC) markets, providing investors…

OTC Pink Sheets l Going Public Attorney

Securities Lawyer 101 Blog Private companies seeking to go public are opting to list on the OTC Markets OTC Pink Current tier. …

FINRA Investor Alert l Alternative Funds Not Typical Mutual Funds

Today, the Financial Industry Regulatory Authority (“FINRA”) issued a new Investor Alert concerning investments in alternative hedge funds (“Alternative Funds”). In the altert, FINRA…

SEC Suspends Polar Petroleum Corp. l Securities Lawyer 101

Securities Lawyer 101 Blog On June 10, 2013, the Securities and Exchange Commission (the “SEC”) suspended trading in the securities of Polar Petroleum…

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/