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

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,…

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…

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…

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”)…

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…

FINRA 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…

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”)…

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…

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…

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…

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…

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,…

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…

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…

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…

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…

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…

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…

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…

What is a Form S-8 Registration Statement?

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…

How FINRA Rule 6490 Impacts Reverse Mergers

FINRA Rule 6490, recently enacted in September 2010, requires issuers of securities not listed on exchanges to provide timely notice to…

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/