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

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…

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…

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…

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…

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…

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…

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…

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/