Securities Law and Going Public Blog

Blog

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

Securities Lawyers Gone Wild l Brian Reiss

Securities Lawyers Gone Wild Series Securities Lawyer 101 Blog On March 8, 2013, the Securities and Exchange Commission (the “SEC”) charged Brian…

Dead Stock Walking l Chinese Reverse Mergers

Securities Lawyer 101 Blog Recent actions by the Securities and Exchange Commission (the “SEC”) and the media have alerted the public to fraud…

Supreme Court Says the Securities Statute of Limitations is 5 Years

Securities Lawyer 101 Blog On February 27, 2013, in the case of Gabelli v. Securities and Exchange Commission, the U.S. Supreme Court unanimously…

SEC Approves FINRA Rule 5123

Securities Lawyer 101 Blog The Securities and Exchange Commission recently approved the Financial Industry Regulatory Authority (“FINRA”) proposals to amend Rule 5123…

What is a SCOR Offering? l Securities Lawyer 101

Securities Lawyer 101 Blog State Blue Sky laws play a significant role in the enforcement of the securities laws. Each State has…

Bogus State Court Actions Used in Unico Fraud

On January 22, the U.S. Attorney’s Office in San Diego unsealed an indictment charging Mark Anthony Lopez, the former CEO of Unico…

The SEC’s Corporate Hijacking Task Force

Securities Lawyer 101 Blog A few weeks ago, the Securities and Exchange Commission (the “SEC”) issued its “Enforcement Initiatives to Combat Financial Reporting and Microcap Fraud and…

What is Broker-Dealer Registration? Securities Lawyer 101

Securities Lawyer 101 Blog Broker-dealers are subject to regulation by the SEC, FINRA, Self Regulatory Organizations (“SROs”) such as stock exchanges, and the states…

The OTCBB Obsolete Marketplace l Securities Lawyer 101 Blog

Securities Lawyer 101 Blog The OTC Bulletin Board (“OTCBB”) is an electronic quotation system that provides real-time quotes, last-sale prices, and volume…

SEC Rule 10b-5 l Securities Lawyer 101

SEC Rule 10b-5 is the primary anti-fraud provision of the federal securities laws. It was adopted pursuant to Section 10(b) of the Securities…

Going Public – OTC Markets OTCQB – Going Public Lawyers

Securities Lawyer 101 Blog Many private companies seeking to go public are opting for going public transactions on the OTC Markets OTCQB. …

Funding Portal Registration And the JOBS Act

Securities Lawyer 101 Blog On February 5, 2013, the SEC’s Division of Trading provided guidance on the exemption from broker-dealer registration in…

Rule 5123 Requires the Filing of Private Placement Documents

Securities Lawyer 101 Blog The SEC recently approved Rule 5123 that any FINRA member firm selling an issuer’s securities in a non-public…

Shareholder Solicitations & the SEC’s Proxy Rules

Securities Lawyer 101 Blog Most public companies hold a stockholders’ meeting annually and hold special meetings to vote on special corporate actions…

OTC Markets Rules of the Road

Securities Lawyer 101 Blog The Financial Industry Regulatory Authority (“FINRA”) and the Securities and Exchange Commission (“SEC”) regulate trading of stocks quoted…

OTC Markets OTC Pink Tier

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

Boca Raton Attorney William J. Reilly Indicted For Securities Fraud

Securities Lawyer 101 Blog Lawyers Gone Wild Series On October 24, 2012, Boca Raton securities lawyer William J. Reilly was arrested by the…

What Are Form 8-K Disclosures? Going Public Lawyer

Securities Lawyer 101 Blog Private companies seeking to go public should be aware that once their S-1 or other registration statement is…

NYSE and NASDAQ Compensation Committee Proposals

Securities Lawyer 101 Blog On January 17, 2013, the Securities and Exchange Commission (the “SEC”) approved proposals by the New York Stock…

How Can I List My Company on NASDAQ?

Securities Lawyer 101 Blog Private companies that go public often attempt to list on a national securities exchange. One of these, the…

OTC Markets Eliminates Quarterly Legal Opinions For OTC Pink Market

Securities Lawyer 101 Blog On January 3, 2013, OTC Markets revised its disclosure requirements for issuers quoted on OTC Markets’ “OTC Pink Current…

Spam 101 l Securities Lawyer 101 Blog

Securities Lawyer 101 Blog Spam is unsolicited information–usually cast in the form of an advertisement–that is sent to a large number of recipients…

SEC Seeks Order For Section 3(a)(10) Action

Securities Lawyer 101 Blog On December 23, 2013, the Securities and Exchange Commission (“SEC”) entered into a proposed settlement of a pending civil action against Advanced…

OTC Markets Increases Disclosure Requirements for OTC Pink Issuers

Securities Lawyer 101 Blog On January 3, 2013, the OTC Markets revised its disclosure requirements for issuers quoted with an OTC Markets “OTC…

What Is Section 16 Reporting? Securities Lawyer 101

Securities Lawyer 101 Blog Section 16(a) of the Exchange Act of 1934 (the “Exchange Act”) requires the reporting of beneficial ownership by…

Emerging Growth Company – Going Public Attorneys

Securities Lawyer 101 Blog On April 5, 2012, President Obama signed the Jumpstart Our Business Startups Act (the “JOBS Act”), which was intended…

The SEC Issues Trading Suspension of Southridge Enterprises

Securities Lawyer 101 Blog On Dec 28, 2012, the Securities and Exchange Commission (“SEC”) announced a trading suspension, pursuant to Section 12(k)…

Securities Registration and the Emerging Growth Company

If a private company undertakes a public offering, the Securities Act of 1933, as amended (the “1933 Act”) requires the private company…

How Do I Go Public to Raise Capital?

Securities Lawyer 101 Blog A private or public company can raise capital in a variety of ways. Traditional sources of capital for…

JOBS Act l Research Analysts and Underwriters

Securities Lawyer 101 Blog On September 28, 2012, the Financial Industry Regulatory Authority, Inc. (“FINRA”) proposed rule changes to the Securities and…

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/