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…
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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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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. …
Read MoreFunding 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…
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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…
Read MoreShareholder 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…
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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…
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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…
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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…
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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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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…
Read MoreHow 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…
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/