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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.
In 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 MoreRegistration of securities on Form S-8 is a short-form registration statement under the Securities Act of 1933, as amended, providing significant benefits to small…
Read MoreThe Securities and Exchange Commission (SEC) is mapping out plans to take over the functions of the Public Company Accounting Oversight Board…
Read MoreAssessing affiliate status is a nuanced but crucial exercise for public companies, affecting everything from Rule 144 sales to registration eligibility and…
Read MoreThe Nasdaq Capital Market is a top choice for early-stage companies aiming to access public capital. Listing on the Nasdaq Capital Market…
Read MoreLearn how the SEC's Dealer Rule targeted toxic lenders in penny stock markets — and why its defeat means ongoing risks for…
Read MoreA Form 8-K is a current report that public companies must file with the Securities and Exchange Commission (“SEC”) to report material…
Read MoreThe Financial Industry Regulatory Authority (FINRA) oversees the processing of corporate action requests for companies trading in the over-the-counter (OTC) markets under…
Read MoreAn “IPO” is the initial public offering by a company of its securities. In an IPO, the company offers and sells stock,…
Read MoreOn March 20, 2025, the United States Attorney for the Southern District of New York announced that RONALD BAUER was sentenced to…
Read MoreEach year, as companies prepare to draft their year-end Annual Reports on Form 10-K, changes in rules, regulations, and disclosure trends, along…
Read MoreIn recent months, Nasdaq Stock Market LLC (“Nasdaq”) diversity rules and Securities and Exchange Commission (“SEC”) climate disclosures for public companies have…
Read MoreNYSE and Nasdaq require that independent directors not hold management positions at the public company, its parents or subsidiaries. Additionally, former executives…
Read MoreOn March 12, 2025, the Securities and Exchange Commission (the “SEC”) Division of Corporation Finance issued a no-action letter providing SEC guidance as…
Read MoreOn March 11, 2025, the Public Company Accounting Oversight Board (“PCAOB”) issued an Order Instituting Disciplinary Proceedings, Making Findings, and Imposing Sanctions,…
Read MoreAs expected, under the new Trump administration, the Securities and Exchange Commission (the “SEC“) has reversed course on its approach to crypto…
Read MoreDeep-Sea Mining and Capital Markets As demand surges for strategic minerals like nickel, cobalt, manganese, and rare earths, deep-sea mining companies are…
Read MoreIn addition to the OTC Markets requirement that public companies on the OTC Pink Market file annual and quarterly reports, all companies…
Read MorePreparing for a direct public offering or an initial public offering ("IPO") or takes both a commitment of time and money. Unlike an Initial Public Offering,…
Read MoreGoing public is still considered a benefit to issuers seeking to raise capital or obtain recognition of their business. Even in a down…
Read MoreThe Whistleblower Program was created by Congress to provide monetary incentives for individuals to come forward and report possible violations of the…
Read MorePublic Companies whose securities are listed on the New York Stock Exchange (NYSE) and Nasdaq Stock Market (NASDAQ), particularly the NASDAQ Capital…
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.
