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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.
Today, the Financial Industry Regulatory Authority (“FINRA”) issued a new Investor Alert concerning investments in alternative hedge funds (“Alternative Funds”). In the altert, FINRA…
Read MoreSecurities Lawyer 101 Blog On June 10, 2013, the Securities and Exchange Commission (the “SEC”) suspended trading in the securities of Polar Petroleum…
Read MoreForeign private issuers may raise capital in the U.S. by registering an offering registered on a registration statement under the Securities Act of 1933,…
Read MoreSecurities Lawyer 101 Blog Corporate hijackings of public shell companies–also called corporate identity theft–has been around for more than two decades. The public companies taken…
Read MoreSecurities Lawyer 101 Blog What is Section 5 of the Securities Act of 1933? Section 5 of the Securities Act states that all…
Read MoreSecurities Lawyer 101 Blog Recent SEC amendments to FINRA Rule 6440, grant authority for FINRA to initiate quotation and trade halts in…
Read MoreSecurities Lawyer 101 Blog On May 16, 2013 the Securities and Exchange Commission (the “SEC”) updated its Established Public Market policy concerning…
Read MoreSecurities Lawyer 101 Blog On June 5, 2013, the Securities and Exchange Commission (the “SEC”) charged penny stock issuer, Laidlaw Energy Group. …
Read MoreSecurities Lawyer 101 Blog Private placements are a cost effective and relatively quick way for private companies to raise capital prior to…
Read MoreShort selling can be a legitimate trading strategy. It is often endorsed for its beneficial effects on the securities markets, which include…
Read MoreSecurities Lawyer 101 Blog A Wells Notice is sent to subjects of a Securities and Exchange Commission (“SEC”) investigation when Enforcement staff…
Read MoreSecurities Lawyer 101 Blog Form D Question & Answer The most common exemptions used by companies to sell stock prior to going…
Read MoreOTC Markets Pink Sheet Q. What are the benefits of listing on the OTC Markets OTC Pink Sheets? A. There are a…
Read MoreSecurities Lawyer 101 Blog The OTC Markets Group operates an electronic inter-dealer quotation system called OTC Link that broker-dealers use to trade…
Read MoreQ. What is The Depository Trust Company (DTC)? A. DTC is the only stock depository in the United States. Q. Why…
Read MoreSecurities Lawyer 101 Blog In a follow-up to its mass trading suspension of 379 over-the-counter issues on May 14, 2012, the SEC…
Read MoreSecurities Lawyer 101 Blog Foreign companies seeking access to the U.S. public markets have several options in going public transactions. Often, foreign…
Read MoreSecurities Lawyer 101 Blog On May 15, 2013, the U.S. District Court for the Southern District of California charged Bradley Holcom with…
Read MoreOn May 30, 2013, the Securities and Exchange Commission (the “SEC”) announced Robert Vitale, the subject of an SEC enforcement inquiry plead…
Read MoreCompanies seeking capital are frequently approached by finders who offer to find investors in exchange for a percentage of funds raised. Most finders…
Read MoreSecurities Lawyer 101 Blog Form 10-Q is used to file quarterly reports under Section 13(a) or 15(d) of the Securities Exchange Act…
Read MoreSecurities Lawyer 101 Blog On May 29, 2013, the SEC charged NASDAQ with violating the securities laws as a result of its poor…
Read MoreIn going public transactions, issuers who qualify as Smaller Reporting Companies should take advantage of the benefits of such status. The disclosures required…
Read MoreSecurities Lawyer 101 Blog Since 2010, allegations of securities fraud involving Chinese reverse merger companies have mounted. By December 31 2012, the…
Read MoreSecurities Lawyer 101 Blog On May 15, 2013, Dejun “David” Zou and Jianping “Amy” Qiu settled the enforcement action brought by the Securities…
Read MoreSecurities Lawyer 101 Blog Investor relations or stock promotion involves the dissemination of information about a public company to increase its stock price…
Read MoreSecurities Lawyer 101 Blog FINRA Rule 6490, enacted over two years ago requires issuers of securities not listed on exchanges to provide…
Read MoreSecurities Lawyer 101 Blog The Depository Trust Company (DTC) is the only stock depository in the United States. When DTC provides services…
Read MoreIn recent years, the activities of short sellers have been the subject of considerable controversy. While the average investor profits if he…
Read MoreSecurities Lawyer 101 Blog The Securities Act of 1933, as amended (the “Securities Act”) requires the offer and sale of a security…
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