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

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…

What is a Regulation S Offering? Going Public Lawyers

Foreign private issuers may raise capital in the U.S. by registering an offering registered on a registration statement under the Securities Act of 1933,…

Reverse Mergers l Corporate Hijacking Scams l Securities Lawyer 101

Securities 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…

Ask Securities Lawyer 101 l Rule 144 Q & A

Securities Lawyer 101 Blog What is Section 5 of the Securities Act of 1933? Section 5 of the Securities Act states that all…

FINRA Granted Authority to Initiate Quotation & Trade Halts

Securities Lawyer 101 Blog Recent SEC amendments to FINRA Rule 6440, grant authority for FINRA to initiate quotation and trade halts in…

OTCQX and OTCQB Recognized as Established Public Markets

Securities Lawyer 101 Blog On May 16, 2013 the Securities and Exchange Commission (the “SEC”) updated its Established Public Market policy concerning…

SEC Charges Laidlaw and Its CEO for Securities Violations

Securities Lawyer 101 Blog On June 5, 2013, the Securities and Exchange Commission (the “SEC”) charged penny stock issuer, Laidlaw Energy Group. …

Ask Securities Lawyer 101 l Rule 506 Q & A

Securities Lawyer 101 Blog Private placements are a cost effective and relatively quick way for private companies to raise capital prior to…

Ask Securities Lawyer 101 l Short Sale Q & A

Short selling can be a legitimate trading strategy. It is often endorsed for its beneficial effects on the securities markets, which include…

Does My Public Company Have to Disclose A Wells Notice?

Securities Lawyer 101 Blog A Wells Notice is sent to subjects of a Securities and Exchange Commission (“SEC”) investigation when Enforcement staff…

Ask Securities Lawyer 101 l Form D Q & A

Securities Lawyer 101 Blog Form D Question & Answer The most common exemptions used by companies to sell stock prior to going…

OTC Markets OTC Pink Market Lawyer Q & A

OTC Markets Pink Sheet Q. What are the benefits of listing on the OTC Markets OTC Pink Sheets? A. There are a…

OTC Markets OTC Pink Market Uplisting – Going Public

Securities Lawyer 101 Blog The OTC Markets Group operates an electronic inter-dealer quotation system called OTC Link that broker-dealers use to trade…

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…

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…

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…

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…

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…

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…

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…

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…

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…

Dead 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…

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…

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/