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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.
Company shareholders, whether employees, founders, or early investors, are increasingly looking to secondary marketplaces like Forge Global, Nasdaq Private Market (NPM), and…
Read MoreDeep-Sea Mining and Capital Markets As demand surges for strategic minerals like nickel, cobalt, manganese, and rare earths, deep-sea mining firms are…
Read MoreOn September 29, 2025, the U.S. Securities and Exchange Commission (SEC) issued back-to-back trading suspensions for two foreign issuers listed on the…
Read MoreYesterday, Bollinger Innovations Inc. (BINI) (formerly Mullen Automotive, Inc. (MULN)) announced a 1:250 reverse stock split, effective Monday, September 22, 2025, in…
Read MoreIn securities law, determining whether someone is an affiliate can impact everything from the resale of shares to a company’s qualification for…
Read MoreWhen it comes to the resale of securities, few areas of securities law generate as much scrutiny as those involving shell companies.…
Read MorePresident Donald Trump has revived an idea he first floated during his earlier administration: doing away with quarterly reporting requirements for U.S.…
Read MoreA Direct Public Offering (DPO) is an effective method for going public. Private companies may also raise capital by selling securities directly…
Read MoreOn September 3, 2025, Nasdaq unveiled proposed updates to its listing standards, designed to strengthen investor protections and enhance market integrity. The…
Read MoreAs a public company in the U.S., staying on top of your SEC reporting obligations under the Securities Exchange Act of 1934…
Read MoreA federal appeals court has ordered the Securities and Exchange Commission to take a fresh look at the economic impact of its…
Read MoreFor public companies in the U.S., the audit committee plays a critical role in maintaining investor confidence and ensuring accountability. Audit committees…
Read MoreIn 2023 and 2024, Florida lawmakers overhauled Chapter 517, the Florida Securities and Investor Protection Act, ushering in a new era for…
Read MoreWhen a company goes public on the Nasdaq Stock Market, it must comply with various requirements, including obtaining stockholder approval for certain…
Read MoreIn a recent move, the U.S. Securities and Exchange Commission (SEC) issued a concept release examining the definition of a Foreign Private Issuer. This step…
Read MoreIf you're eyeing a listing on the New York Stock Exchange (NYSE) or Nasdaq Stock Market (Nasdaq), you'll need to align your…
Read MoreItem 401 of Regulation S-K requires that companies make certain disclosures about their directors, executive officers, and nominees. This information helps shareholders…
Read MoreFor foreign private issuers (FPIs) listed in the United States, staying compliant with U.S. Securities and Exchange Commission (SEC) regulations is a…
Read MoreListing on Nasdaq is a major milestone for companies aiming to go public, offering access to global capital markets and increased visibility.…
Read MoreThe NASDAQ listing process involves several steps and requirements for companies seeking to list their securities on one of NASDAQ’s three market…
Read MorePublic companies that are foreign private issuers listed on the Nasdaq Stock Exchange are subject to specific corporate governance requirements, which are…
Read MoreSocial media has transformed the way information spreads, connecting billions of users instantly. While this connectivity fosters communication and engagement, it also…
Read MoreIn the age of social media, financial influencers, or “finfluencers,” have become powerful voices in shaping investment decisions. With large followings on…
Read MoreIn recent months, Nasdaq Stock Market LLC (“Nasdaq”) diversity rules and Securities and Exchange Commission (“SEC”) climate disclosures for public companies have…
Read MoreOn July 1, 2025, the Securities and Exchange Commission (“SEC“) charged William A. Justice, Brian D. Shibley, and Randell R. Torno, each…
Read MoreLaunching an Initial Public Offering (IPO) on the Nasdaq or NYSE is a significant milestone for companies aiming to access public capital…
Read MoreOn July 1, 2025, OTC Markets introduced the OTCID Basic Market, replacing the OTC Pink Market. This new platform offers a streamlined…
Read MoreForm S-3 is a concise filing option that enables issuers to register a range of securities, such as common and preferred stocks,…
Read MoreAn Initial Public Offering (IPO) represents a significant milestone for companies seeking to go public, particularly for smaller issuers targeting listings on…
Read MoreWhen a public company is registered under Section 12 or subject to Section 15(d) of the Securities Exchange Act of 1934, it…
Read MoreExplore 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.
