DTC Eligibility Question & Answer – Going Public Attorney
Q. What is The Depository Trust Company (DTC)? A. DTC is the only stock depository in the United States. Q. Why…
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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 Suspensions of 61 Companies
Securities Lawyer 101 Blog In a follow-up to its mass trading suspension of 379 over-the-counter issues on May 14, 2012, the SEC…
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Going Public Options for Foreign Companies
Securities Lawyer 101 Blog Foreign companies seeking access to the U.S. public markets have several options in going public transactions. Often, foreign…
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Bradley Holcom Indicted in $50 Million Securities Offering l Securities Attorney 101
Securities Lawyer 101 Blog On May 15, 2013, the U.S. District Court for the Southern District of California charged Bradley Holcom with…
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SEC Charges Robert Vitale for Lying l Securities Lawyer 101
On May 30, 2013, the Securities and Exchange Commission (the “SEC”) announced Robert Vitale, the subject of an SEC enforcement inquiry plead…
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Can Finders Raise Funds without Registration as a Securities Broker?
Companies seeking capital are frequently approached by finders who offer to find investors in exchange for a percentage of funds raised. Most finders…
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Auditor Review of Form 10-Q l Securities Lawyer 101
Securities Lawyer 101 Blog Form 10-Q is used to file quarterly reports under Section 13(a) or 15(d) of the Securities Exchange Act…
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SEC Charges NASDAQ for Facebook IPO l Securities Lawyer 101
Securities Lawyer 101 Blog On May 29, 2013, the SEC charged NASDAQ with violating the securities laws as a result of its poor…
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Going Public For a Smaller Reporting Company l Securities Lawyer 101
In going public transactions, issuers who qualify as Smaller Reporting Companies should take advantage of the benefits of such status. The disclosures required…
Read MoreDead Stock Walking l Reverse Mergers
Securities Lawyer 101 Blog Since 2010, allegations of securities fraud involving Chinese reverse merger companies have mounted. By December 31 2012, the…
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SEC Settles Charges against RINO International
Securities Lawyer 101 Blog On May 15, 2013, Dejun “David” Zou and Jianping “Amy” Qiu settled the enforcement action brought by the Securities…
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Investor Relations 101 l Securities Lawyer 101 Blog
Securities Lawyer 101 Blog Investor relations or stock promotion involves the dissemination of information about a public company to increase its stock price…
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Two Years Later l FINRA Rule 6490 l Going Public Attorneys
Securities Lawyer 101 Blog FINRA Rule 6490, enacted over two years ago requires issuers of securities not listed on exchanges to provide…
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DTC Chills & Global Locks l Securities Lawyer 101
Securities Lawyer 101 Blog The Depository Trust Company (DTC) is the only stock depository in the United States. When DTC provides services…
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Short Sales 101 – Going Public Attorneys
In recent years, the activities of short sellers have been the subject of considerable controversy. While the average investor profits if he…
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Rule 144 For OTC Pink Companies – Going Public Lawyers
Securities 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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Rules of the Road l Uplisting to the OTCMarkets OTC Pink Sheets
Securities Lawyer 101 Blog The OTCMarkets Group operates an electronic inter-dealer quotation system called OTC Link that broker-dealers use to trade securities…
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15c2-11 Application Going Public Attorney
Securities Lawyer 101 Blog Many private companies that go public are opting for the listing on the OTCMarket’s Pink Sheets due to…
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SEC Sues Daniel Peterson for Fraud
Securities Lawyer 101 Blog On April 25, 2013, the Securities and Exchange Commission Division of Enforcement (“SEC”) announced that it had charged…
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How Can I Register Shares On Form S-8 ?
Securities Lawyer 101 Blog Registration of securities on Form S-8 (“Form S-8”) is a short-form registration statement under the Securities Act of…
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Market Makers in Going Public Matters l Securities Lawyer 101
Securities Lawyer 101 Blog The last step in going public transactions is most often obtaining a stock trading or ticker symbol from…
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Informational Requirements of Rule 144 – Rule 144 Legal Opinion Requirements
Securities Lawyer 101 Blog Rule 144(c) of the Securities Act of 1933, as amended (the “Securities Act”) requires that stockholders of public…
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Rule 504 l OTC Pink Offerings
Securities Lawyer 101 Blog Rule 504 of Regulation D is a transactional exemption from the registration requirements of the Securities Act of…
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Form 10-Q Requirements l Securities Lawyer 101 Blog
Securities Lawyer 101 Blog Public companies with a class of securities registered under Section 12 or subject to Section 15(d) of the…
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Rule 504 l OTC Markets OTC Pink Market Checklist
Securities Lawyer 101 Blog Rule 504 of Regulation D is a transactional exemption from the registration statement requirements of the Securities Act of…
Read MoreWhat Are Public Shell Companies?
Securities Lawyer 101 Blog In recent years, the Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”) have taken…
Read MoreWhy Both Private and Public Companies Need a Securities Attorney
Securities Lawyer 101 Blog Every offer and sale of securities is regulated by both state and federal securities laws. Generally, all securities…
Read MoreBrenda Hamilton, Securities Attorney, In Linkedin’s Top 1 %
Securities Lawyer 101 Blog Brenda Hamilton, a securities attorney and founder of Hamilton & Associates Securities Lawyers has been honored as a…
Read MoreSecurities Lawyers Gone Wild l Carrillo Huettel
Securities Lawyer 101 Blog On March 15, 2013, the Securities and Exchange Commission (the “SEC”) charged securities law firm Carrillo Huettel and others…
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FINRA Bars Jeffrey Rubin for Transactions Involving 31 NFL Players
Securities Lawyer 101 Blog On March 7, 2013, the Financial Industry Regulatory Authority (“FINRA”) barred Jeffrey Rubin of Lighthouse Point, Florida, from…
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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.
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
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