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…
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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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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…
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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…
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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…
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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…
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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…
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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…
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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…
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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…
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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)…
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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…
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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…
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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…
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Securities Lawyers Gone Wild l Carl Duncan
Securities Lawyer 101 Blog On September 27, 2012, the SEC charged 8000, Inc. and Carl Duncan, Esq. for his role in a…
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Removing the Advertising Ban in Rule 506 Offerings
Securities Lawyer 101 Blog Rule 506(c) of Regulation D, enacted under the Jumpstart Our Business Startups Act (the “JOBS Act”) is intended…
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How Did the JOBS Act Change Mandatory Exchange Act Registration?
Securities Lawyer 101 Blog On April 5, 2012, President Obama signed the Jumpstart Our Business Startups Act (the “JOBS Act”), which is…
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OTC Markets OTC Pink Disclosure Obligations
Securities Lawyer 101 Blog OTC Markets Group operates the world’s largest electronic inter-dealer quotation system. Broker-dealers use it to trade unlisted securities. OTC…
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Equity Crowdfunding 101- Going Public Lawyers
Securities Lawyer 101 Blog On April 5, 2012, President Obama signed the Jumpstart Our Business Startups Act (the “JOBS Act”), which is…
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BP to Pay $525 Million to SEC – Securities Lawyer 101 – Go Public Blog
Securities Lawyer 101 Blog On November 15, 2012, the Securities and Exchange Commission charged BP p.l.c. with misleading investors by significantly understating the…
Read MoreFINRA Issues Crowdfunding Rules
Securities Lawyer 101 Blog The Financial Industry Regulatory Authority (“FINRA”) has issued a voluntary form for prospective crowdfunding portals under the Jumpstart Our…
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Securities Exchange Act Registration Statements
Securities Lawyer 101 Blog All public companies whose securities are registered on a national securities exchange, and generally issuers whose assets exceed…
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SEC Tips and the Dodd Frank Act l Ask Securities Lawyer 101
Securities Lawyer 101 Blog The Securities and Exchange Commission (“SEC”) frequently receives tips from whistlblowers. SEC tips from whistleblowers are provided in a…
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Filing Requirements for Publicly Traded Companies-Go Public
Securities Lawyer 101 Blog An issuer with a class of securities registered under Section 12 or subject to Section 15(d) of the…
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What Are Form D’s Requirements? Going Public Lawyers
Securities Lawyer 101 Blog The most common exemptions used by companies to sell stock prior to going public are those promulgated under…
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Rule 504 Q & A l Securities Lawyer 101
What Is Rule 504? Rule 504 of Regulation D is an exemption from the registration requirements of the Securities Act of 1933,…
Read MoreSEC Registration & the Emerging Growth Company
Securities Lawyer 101 Blog The JOBS Act makes it easier for issuers who qualify as an emerging growth company to go public…
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The SEC Issues Alert For Reverse Mergers
Securities Lawyer 101 Blog On June 9, 2011, the Securities and Exchange Commission (the “SEC”) issued an Investor Bulletin (the “Bulletin”) cautioning…
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The Securities Exchange Act of 1934 – Securities Lawyers 101
Securities Lawyer 101 Blog The Securities Exchange Act of 1934 (the “Exchange Act”) grants broad authority to the Securities and Exchange Commission (“SEC”)…
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Securities Lawyers Gone Wild l Cameron Linton
On September 14, 2012, the Securities and Exchange (SEC) announced today that the United States District Court for the Middle District of…
Read MoreFINRA Rule 6490 – Going Public Attorneys
Significant changes to FINRA Rule 6490 were enacted in September 2010. Though FINRA’s principal mandate is to regulate broker-dealers, historically it has…
Read MoreBlogroll & Resources
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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