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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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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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…
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FINRA 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,…
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SEC 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…
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Are Rule 504 Shares Free Trading? Securities Lawyer 101
Securities Lawyer 101 Blog Rule 504 (“Rule 504”) of Regulation D of the Securities Act of 1933, as amended (the “Securities Act”)…
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SEC Proposes New Rules Regarding General Solicitation and Advertising in Rule 506 Offerings
Securities Lawyer 101 Blog On August 12, 2012, the SEC proposed amendments to Rule 506 of Regulation D of the Securities Act…
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Regulation FD and Social Media l Securities Lawyer 101 l Blog
On May of 2012, Francesca’s Holdings Corporation announced the termination of its Chief Financial Officer after an internal investigation concluded he had…
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What Causes a DTC Chill? Going Public Lawyers
The Depository Trust and Clearing Corporation (“DTCC”), through its subsidiaries, provides clearing, settlement and information services for securities. DTCC’s subsidiary, the Depository…
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What Is a Transfer Agent ? Going Public Lawyers
Securities Lawyer 101 Blog A shareholder of any company can own securities and transfer the ownership of those securities. Their ownership is reflected…
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Securities Attorney Kelly Rogers Indicted for Role in Oil and Gas Scam
Securities Lawyers Gone Wild Series Securities Lawyer 101 Blog In May 2012, Kelly Rogers, a Texas attorney specializing in oil and gas,…
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SEC Trading Suspensions 101 l Securities Lawyer 101
Securities Lawyer 101 Blog Over a year ago, the Securities and Exchange Commission (“SEC”) in an initiative known as Operation Shell-Expel, the Securities…
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Using Form S-1 and F-1 Registration Statements When Going Public
Using a Registration Statement to Go Public: Form S-1 and Form F-1 Explained Securities Law | Nasdaq | NYSE | OTC Markets…
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What Is a Form 144 Notice Of Sales? Rule 144 Requirements
Rule 144 requires that a “Notice of Sale” on Form 144 be filed by any person for whose account the securities are being…
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SEC Registration Statements In Going Public Transactions
Going public is a big step for any company. The process of “going public” is complex and at times precarious. While going…
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The Regulation D Exemption l Rule 506 l Going Public Lawyers
Securities Lawyer 101 Blog To offer and sell securities in the United States, an issuer must comply with the registration requirements of…
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What Is The Section 4(1) Exemption? Securities Lawyer 101
Registration Statement, Unregistered Securities, Safe harbor, Rule 144 safe harbor, Rule 144 legend, Rule 144 legend removal, Affiliate, Form 144, Control, Control…
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Filing and Amending Form D under Regulation D
Securities Lawyer 101 Blog Form D is used to file a notice of an exempt offering of securities with the Securities and…
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
https://ppe.securitieslawyer101.com/securities-law-video-series/