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

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…

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…

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…

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…

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…

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…

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…

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…

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…

What 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…

Why 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…

Brenda 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…

Securities 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…

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…

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…

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/