A Form 8-K is a current report that public companies must file with the Securities and Exchange Commission (“SEC”) to report material events that could impact investors and the company’s stock price. The information required by Form 8-K… Read More
Corporate actions can range from making a change to a company’s name to issuing a dividend or restructuring the company through a merger or bankruptcy. The corporate action typically aims to influence a company’s stock value and shareholder… Read More
An “IPO” is the initial public offering by a company of its securities. In an IPO, the company offers and sells stock, most often its common stock, through an underwriter. When a company cannot locate an underwriter, it… Read More
Category: Blog Posts Tags: accountant, auditor, CEO, CFO, Common Stock, Direct Public Offering, dodd-frank, DPO, Equity, Exchange Act of 1934, F-1, Form 8-A, Form S-1, Going Public, initial public offering, IPO, nasdaq, nyse, OTC Markets, Prospectus, Public Market, Raise Capital, research analyst, S-1, S-1 registration statement, SEC, SEC Comments, SEC Reporting Requirements, securities, Securities Act of 1933, Securities and Exchange Commission, Securities Attorney, Transfer Agent, Underwriter
On March 20, 2025, the United States Attorney for the Southern District of New York announced that RONALD BAUER was sentenced to 20 months in prison for manipulating seven different stocks in a “pump-and-dump” scheme designed to fraudulently inflate the value of BAUER’s own shares in those companies.
Category: Blog Posts Tags: Adam Christopher Kambeitz, Alon Friedlander, American Helium Inc, Beneficial Owner, Bison Petroleum Corp, Black River Petroleum Corp, Black Stallion Oil and Gas Inc, Blacklight SA, BLKG, Blue Eagle Lithium Inc, Cantabio Pharmaceuticals Inc, CIIT, Craig Auringer, Craig James Auringer, CTBO, Cyberfort Software Inc., CYBF, Daniel Ferris, Daniel Mark Ferris, David Sidoo, doj, fbi, fraud, Gray Fox Petroleum Corp, Indictment, Lifelogger Technologies Corp., Lone Star Gold Inc, Massimiliano Pozzoni, match trading, Money Laundering, North American Oil & Gas Corp, OTC Markets, OTTV, Patriot Berry Farms Inc., Penny stocks, Petar Dmitrov Mihaylov, Peter Mihaylov, PetroTerra Corp, Polar Petroleum Corp, pump and dump, Ronald Bauer, Rule 13d-1, scam, Schedule 13D, SEC, SEC Action, SEC Complaint, Securities and Exchange Commission, Securities Fraud, Shell Company, Steampunk Wizards Inc., TLSS, True North Energy Corp, United States Attorney, Virtus Oil and Gas Corp, VOIL, wash trading
Each year, as companies prepare to draft their year-end Annual Reports on Form 10-K, changes in rules, regulations, and disclosure trends, along with new laws and executive orders from the current presidential administration, can add complexity and uncertainty…. Read More
Category: Blog Posts Tags: Annual Report, Artificial Intelligence, Canada, China, Climate Change, cybersecurity, DEI, Discrimination, Donald Trump, economic uncertainty, executive orders, Extreme Weather, Form 10-K, Gaza, geo-political issues, geopolitical risks, hypothetical risk factors, immigration. illegal immigrants, Inflation, Interest Rates, Israel, Legal Issues, Mexico, nasdaq, nyse, OTC Markets, Penny stocks, Political Landscape, PRC, president Trump, public companies, Public Disclosures, public reporting, Risk factors, Russia, SEC, Securities Attorney, Tariffs, Ukraine
In recent months, Nasdaq Stock Market LLC (“Nasdaq”) diversity rules and Securities and Exchange Commission (“SEC”) climate disclosures for public companies have been struck down. On December 11, 2024, the Court of Appeals for the Fifth Circuit struck down… Read More
Category: Blog Posts Tags: Alliance for Fair Board Recruitment, board diversity, Climate, climate risks, compliance, court, disclosures, diversity, Eight Circuit Court, Fifth Circuit, greenhouse gas emissions, judge, LGBTQ, listing rules, nasdaq, Nasdaq Stock Market LLC, National Center for Public Policy Research, rules, SEC, Securities and Exchange Commission, Securities Attorney
Both the Nasdaq Stock Exchange (Nasdaq) and the New York Stock Exchange (NYSE) impose a requirement that a majority of the board of directors of their listed companies be independent directors. Recent litigation, including SEC enforcement actions, demonstrates… Read More
Category: Blog Posts Tags: Director Independence, nasdaq, Nasdaq independent director, Nasdaq listed company manual, Nasdaq listing requirements, Nasdaq Rule 5605(a)(2), NASDAQ Stock Exchange, nyse, NYSE independent director, NYSE listed company manual, NYSE listing requirements, NYSE Section 303A.02(b), NYSE Stock Exchange, SEC Division of Enforcement
On March 12, 2025, the Securities and Exchange Commission (the “SEC”) Division of Corporation Finance issued a no-action letter providing SEC guidance as to Rule 506(c) of Regulation D of the Securities Act of 1933 (the “Securities Act”). The… Read More
Category: Blog Posts Tags: 506(c) exemption, Accredited Investor, Accredited Investor Verification, Public Company, Raise Capital, raise funds, Regulation D, Rule 506(c), Rule 506(c) exemption, Rule 506(c) verification, Safe Harbor, SEC Exemption, SEC Guidance, SEC no-action guidance, SEC staff, Securities Act
On March 11, 2025, the Public Company Accounting Oversight Board (“PCAOB”) issued an Order Instituting Disciplinary Proceedings, Making Findings, and Imposing Sanctions, permanently revoking the registration of Accell Audit & Compliance, P.A. (“Accell”). The PCAOB is a nonprofit… Read More
Category: Blog Posts Tags: Accell, Accell Audit & Compliance PA, accountant, auditor, Christopher Hiestand, Ignite International Brands Ltd, PCAOB, Public Company Accounting Oversight Board, SEC, SEC Complaint, Securities and Exchange Commission
As expected, under the new Trump administration, the Securities and Exchange Commission (the “SEC“) has reversed course on its approach to crypto enforcement. Donald Trump became a very strong supporter of digital assets and cryptocurrencies during his presidential… Read More
Category: Blog Posts Tags: American Bitcoin, American Data Centers, Baron Trump, bitcoin, Coinbase, Consensys Software Inc, crypto assets, crypto mining, Crypto Task Force, cryptocurrency, Cumberland DRW LLC, DJT, Donald Trump, Donald Trump Jr., Eric Trump, etfs, Hester Peirce, Hut 8, Justin Sun, Kraken, Mark T Uyeda, MELANIA, Melania Meme, MEME coins, NFT Marketplace, NFTs, OpenSea, Paul Grewal, Payward Inc, president Trump, Ripple, Robinhood, SEC, SEC Attorney, SEC Chairman, SEC Complaint, SEC Division of Corporate Finance, SEC enforcement action, SEC Settlement, Securities Act of 1933, Securities Act of 1934, Securities and Exchange Commission, Social Media, stablecoins, Steve Witkoff, Trump, Trump administration, Trump Media and Technology Group Corp, white house, World Liberty Financial, XRP, Zach Witkoff
In addition to the OTC Markets requirement that public companies on the OTC Pink Market file annual and quarterly reports, all companies on the OTC Pink Market are required to promptly disclose to the public any news or… Read More
Preparing 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, a direct public offering does not involve an underwriter. While it often takes a year or longer… Read More
Category: Blog Posts Tags: Direct Listing, Direct Listing Requirements, Direct Public Offering, Foreign Company, Foreign Issuer, Foreign Private Issuer, Form 10, Form F-1, Form F-1 Attorney, Form F-1 Attorneys, Form F-1 Capital, Form F-1 Capital Raise, Form F-1 Law Firm, Form F-1 Law Firms, Form F-1 Lawyer, Form F-1 lawyers, Form F-1 Offering, Form F-1 Prospectus, Form F-1 Quiet Period, Form F-1 Registered Offering, Form F-1 Registered Offerings, Form F-1 Registration Statement, Form F-1 Registration Statements, Form F-1 Resale, Form F-1 Resales, Form F-1 Selling Shareholder, Form F-1 Selling Shareholder Requirements, Form F-1 Selling Stockholder, Form F-1 Selling Stockholder Requirements, Form S--1 filing, Form S-1, Form S-1 Attorney, Form S-1 Attorneys, Form S-1 Capital, Form S-1 Capital Raise, Form S-1 filing requirements, Form S-1 Law Firm, Form S-1 Law Firms, Form S-1 Lawyer, Form S-1 lawyers, Form S-1 Listing, Form S-1 Offering, Form S-1 Prospectus, Form S-1 Quiet Period, Form S-1 Registered Offering, Form S-1 Registered Offerings, Form S-1 Registration Statements, Form S-1 Resale, Form S-1 Resales, Form S-1 Selling Shareholder, Form S-1 Selling Shareholder Requirements, Form S-1 Selling Stockholder, Form S-1 Selling Stockholder Requirements, Form S-1. Registration Statement, Go Public, Go Public Attorney, Go Public Lawyer, Going Public, Going Public Attorney, Going Public Attorneys, Going Public Law Firm, Going Public Lawyer, Going Public Lawyers, Listing, OTC Markets, OTC Markets OTCQB, OTC QB, Prospectus, Prospectus Requirements, Regulation A, Regulation A Attorney, Regulation A Attorneys, Regulation A Lawyer, Regulation A Lawyers, Regulation CF, Regulation S-K, S-1, S-1 Filing, S-1 Going Public, S-1 Registration, S-1 SEC Filing, SEC Quiet Period, SEC Reporting, SEC Reporting Obligations
Going public is still considered a benefit to issuers seeking to raise capital or obtain recognition of their business. Even in a down economy, private companies seek the perceived benefits of being publicly traded. While there are a variety… Read More
Category: Blog Posts Tags: Depository Trust Company, Direct Listing, Direct Public Offering, DPO, DTC, FINRA, Form 10, Form 10 Registration Statement, Form 10-K, Form 10-Q, Form 211 and Amended 15c-211, Form 8-K, Form F-1, Form S-1, Form S-1. Registration Statement, Go Public, Going Public, Going Public Direct, Grey Sheets, initial public offering, IPO, Market Maker, nasdaq, Nasdaq Capital Market, nyse, OTC Markets, OTC Markets Pink, Periodic Reporting, Public Company, Registration Statement, Reverse Merger, rule 15c-211, SEC, SEC Periodic Reporting, SEC Registration Statement, Securities Act, Securities Attorney, Securities Exchange Act of 1934, Securities Lawyer, stock exchange, Underwriter, Unregistered Dealer, Unsolicited quotes
The SEC’s whistleblower program was established by Congress to incentivize whistleblowers to report specific, timely and credible information about possible federal securities laws violations. The Commission is authorized to provide monetary awards to eligible individuals who come forward… Read More
Category: Blog Posts Tags: Dodd Frank Bounty, dodd-frank, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Claim, SEC Defendant, SEC Defense, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, trading suspension, whistleblower
Public Companies whose securities are listed on the New York Stock Exchange (NYSE) and Nasdaq Stock Market (NASDAQ), particularly the NASDAQ Capital Market, frequently effect reverse stock splits to comply with NASDAQ and NYSE’s minimum $1.00 share price… Read More
Category: Blog Posts Tags: listed company, Minimum Bid Price Rule, nasdaq, Nasdaq Capital Market, Nasdaq Minimum Bid Price Rule, NASDAQ stock market, nyse, Public Company, reverse split, reverse stock split, Stock Split
On December 23, 2024, the United States District Court for the Southern District of New York entered final judgments on consent against Defendant Morningview Financial, LLC, a company alleged to have acted as an unregistered dealer; Defendant Miles… Read More
Category: Blog Posts Tags: ADGO, AMAX, BOXS, broker-dealer, BRTI, CELZ, Convertible Note, EWLL, IRNC, Joseph M. Riccio, KPAY, Miles M Riccio, MJTK, Morningview Financial LLC, OPVS, PLYZ, SEC, SEC Complaint, SEC Order, Securities Attorney, Toxic Funder, TURV, United States District Court for the Southern District of New York, Unregistered broker-dealer, US Securities and Exchange Commission, XSPT
Over the past 25 years, the OTC Markets Group (OTCQX: OTCM) has made many changes to modernize the OTC Markets platform. This platform facilitates trading in over 12,000 securities, totaling hundreds of billions of dollars in transactions each… Read More
Category: Blog Posts Tags: 15c2-11, Edgar, Expert Market, Expert Restricted Market, Management Certification, OTC Markets, OTC Markets Group, OTCID, OTCID Market, OTCQB, OTCQX, Penny stocks, Pink, Pink Limited Market, Reporting Requirements, SEC, Securities and Exchange Commission, Securities Attorney, SEDAR, Transfer Agent Verification Program
Many foreign companies use American Depositary Receipts (“ADRs”) as a means of going public to raise capital or establish a trading presence in the United States. ADRs are traded on exchanges like NASDAQ or NYSE as well as… Read More
Category: Blog Posts Tags: ADRs, ADSs, American Depositary Receipts, American Depositary Shares, Commission, foreign companies, foreign currency, Form F-1, Form F-3, Form F-4, Going Public, Level 1 ADR, Level 2 ADR, Level 3 ADR, nasdaq, nyse, OTC Markets, Registration Statement, Rule 12g3-2(b), SEC, Securities and Exchange Commission, Securities Attorney, Securities Exchange Act of 1934, U.S. public markets
On December 10, 2024, a federal grand jury in Dallas, Texas, returned an indictment charging a Texas businessman for his role in a yearslong scheme involving at least five publicly traded companies. According to court documents, Philip Verges,… Read More
Category: Blog Posts Tags: 143 Partners LLC, 5Barz International Inc, AB Watley, AB Watley Group Inc, ACI Conglomerated, Alkame Holdings Inc, ALKM, Alternet Systems Inc, ALYI, ANCE, BARZ, Beachhead LP, Blackhead LLC, BLSP, Blue Citi, Blue Citi LLC, Blue Sphere Corp, Blue Water Global Group, BLUU, Brian Shipley, CIAO Group Inc, CIAU, DIDG, Digital Development Group Corp, ECAU, Echo Automotive Inc, Ed Bollen, Enviro-Serv Inc, Estvan Elek, EVSV, FINRA, fraud, front-running trading scheme, GACR, Glenn Bagwell, GRCO, Green Automotive Co, Greenbelt Resources Corp, IHUB, IJJ Corp, IJJP, Indictment, investorshub, James Tilton, JDT Trading, JDT Trading LLC, Kali Inc, KALY, LEXG, Linda Malin, Linda Malin Esq, Lithium Exploration Group Inc, Max Sound Corp, MAXD, mike murphree, Mike Murphy, North American Cannabis Holdings Inc, NOUV, Nouveau Life Pharmaceuticals Inc, OTC Markets, Penny Stock, Philip Verges, PositiveId Corp, PSID, pump and dump, PURA, Puration Inc, Randell Torno, Restance Inc, Robert F Malin, Robert Malin, scam, SEC, SEC Action, SEC Actions, SEC Complaint, SEC enforcement, SEC Subpoena, Securities Act, Securities and Exchange Commission, Securities Attorney, Securities Exchange Act, Securities Fraud, SMEA2Z LLC, Solaris Power Cells Inc, SPCL, Steven Rash, TGRR, Thilo Dunker, ThinSpace Technology Inc, THNS, Tiger Reef Inc, Tilton, Tom Faye, UBIQ, Ubiquity Inc, USMJ, Vaycaychella Inc, VAYK, Verges, Waterpure International Inc, West Cucharras LLC, WPUR, Yasmine Acedo
After a foreign private issuer has completed its going public transaction by completing an offering registered under the Securities Act of 1933, as amended (the “Securities Act”) or registered as a class of securities under the Exchange Act… Read More
Category: Blog Posts Tags: Foreign Private Issuer, Foreign Private Issuer SEC reporting requirements, Form 20-F, Form 6-F, Going Public, Going Public Transaction, nasdaq, nyse, Schedule 13D, Schedule 13g, SEC, SEC Periodic reports, SEC Reporting Company, SEC Reporting Requirements, Securities Act of 1933, Securities and Exchange Commission, Securities Attorney
Published: January 6, 2025 On December 11, 2024, Clinton Greyling, 50, of Tamarac, Fla., was sentenced by U.S. District Court Judge Richard G. Stearns to one year of probation. He was also ordered to perform 200 hours of… Read More
Category: Blog Posts Tags: ABTI, Adiba Khalik, Adiba Rezaei, ALTA, Alterola Biotech Inc, Anne M E Greyling, Brandon Rossetti, Bulls Run Investments Limited, Cennet Investments Limited, Clinton Greyling, Crystalmount Limited, Dheeraj Jain, Dodd Frank Bounty, dodd-frank, doj, Domenic Calabrigo, E-Pawn.com, EPWN, fraud, Future Trends Ltd, investment scheme, Jeffrey D Martin, Jeffrey Martin, Lalit Kumar, Leslie Greyling, London Pharma Holdings Limited, Members Service Corp, MENC, Millennium Energy Corp, Nankalamu Martin, Norfolk Hights Ltd, Pacific Media Group Enterprises Inc, Peter Maddocks, QEBR, Rajesh Taneja, Roger Bendelac, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Award, SEC Bounty, SEC Charges, SEC Claim, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC Division of Enforcement, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, SEC Suit, SEC Trading Suspension, SEC Whistleblower, SEC whistleblower Award, SEC whistleblower bounty, Securities Attorney, Securities Fraud, Securities Law Defense, Securities Lawyer, Steve M Bajic, stock scheme, Thomas Capellini, TKCM, Token Communities Ltd, Total Investment Holding Ltd, trading suspension, Trends Investments Inc, Unregistered Dealer, Virtual medical International Inc
On December 11, 2024, the Securities and Exchange Commission (the “SEC“) filed a complaint in the United States District Court for the District of Utah charging five individuals and three entities for their roles in a fraudulent scheme… Read More
Category: Blog Posts Tags: Affiliate, attorney opinion letter, Broker, Chesapeake Group Inc, Clark M. Mower, Daniel W. Jackson, Donald H. Perry, First Equity Holdings Corp, Flexpoint Sensor Systems Inc, FLXT, ForeverGreen Worldwide Corp, FVRG, John S. Clayton, KWIK, KwikClick Inc, Legend Removal, LZG International Inc, LZGI, OTC Markets, OTC Markets Alternative Reporting, restricted stock, Rule 144, SEC, SEC Complaint, Securities and Exchange Commission, Securities Attorney, Securities Fraud, share selling scheme, Standard Registrar and Transfer Co, stock manipulation, Stock Promotion, Timothy J. Rieu, Transfer Agent
On November 22, 2024, the United States Court of Appeals for the District of Columbia Circuit in Washington, D.C., made its ruling in a case involving Alpine Securities Corporation (“Alpine”) and the Financial Industry Regulatory Authority (“FINRA“), reversing… Read More
Category: Blog Posts Tags: Alpine, Alpine Securities, Alpine Securities Corporation, broker-dealer, Christopher Doubek, Court of Appeals, expulsion, Financial Industry Regulatory Authority, FINRA, John Hurry, Joseph Walsh, Scottsdale Capital, Scottsdale Capital Advisors, SEC, Securities and Exchange Commission, Securities Attorney, United States Court of Appeals, United States Court of Appeals for the District of Columbia Circuit in Washington D.C.
Market participants are speculating about the new Trump deregulation agenda and how it will impact the SEC. With Republicans in control of the 119th Congress, we expect to see SEC deregulation and changes aimed at capital formation and… Read More
Category: Blog Posts Tags: 119th Congress, bitcoin, Blue Sky Laws, broker-dealer registration requirements, capital formation, capital raises, CFTC, Cryptocurrencies, deregulation, Digital Assets, Donald Trump, exempt unregistered offerings, Going Public, Project 2025, public companies, Regulation A, Regulation D Offerings, Republican control, SEC, SEC enforcement actions, Securities and Exchange Commission, Securities Attorney, Trump administration
On November 22, 2024, the Securities and Exchange Commission announced that it filed 583 total enforcement actions in fiscal year 2024 while obtaining orders for $8.2 billion in financial remedies, the highest amount in SEC history. The 583… Read More
This week, the Securities and Exchange Commission (the “SEC“) brought charges in three separate alleged massive bribery schemes. In action #1, brought on November 18, 2024, the SEC announced that BIT Mining Ltd., formerly known as 500.com Limited,… Read More
Category: Blog Posts Tags: 500.com, Adani Green Energy Ltd, AZREF, Azure Power Global Ltd, BIT Mining Ltd, bribery scheme, BTCM, Criminal Case, Cyril Cabanes, FCPA, Foreign Corrupt Practices Act, Gautam Adani, Indictment, New York Stock Exchange, nyse, Sagar Adani, SEC, SEC Action, SEC Complaint, SEC Order, Securities and Exchange Commission, U.S. Department of Justice, WBAI
In the past five years or so, we’ve written many times about “toxic lenders”. These toxic lenders have been active since the end of the last century and have flourished providing financing to small publicly traded companies quoted… Read More
Category: Blog Posts Tags: Almagarby, Chris Stalcup, Convertible Note, GHS Investments, John Fife, LLC, Mark Indeglia, Mark S. Grobee, Market Adjustable, Matthew L. Schissler, public companies, Public Company, Publicly Traded, reverse split, reverse stock split, Rule 144, Safraz S. Hajee, SEC, SEC Action, SEC registrant, Small Public Company Coalition, SPCC, Toxic Convertible Note, toxic financing, Toxic Funder, Toxic Funders, Toxic Lender, Toxic Note
On September 30, 2024, the Securities and Exchange Commission (the “SEC“) charged Olayinka Oyebola and his Public Company Accounting Oversight Board-registered accounting firm, Olayinka Oyebola & Co. (Chartered Accountants), with aiding and abetting a massive securities fraud perpetrated by… Read More
Category: Blog Posts Tags: ABTI, Accounting Fraud, Agri-Fintech Holdings Inc, Alex Lightman, Alterola Biotech Inc, Brandon Kochkodin, Chris Cleverly, Craig Marshak, Darren Mercer, Deloitte Brightman Almagor Zohar, Donald Trump, Dozy Mmobuosi, Dr. Daniel Reshef, Expert Market, Forbes, fraud, fraudulent financials, Hindenburg Research, Israel, Leslie Greyling, Mmobuosi Odogwu Banye, nasdaq, Nigeria, Olayinka Oyebola, Olayinka Oyebola & Co. (Chartered Accountants), OTC Markets, PCAOB, QEBR, research report, scam, SEC Attorney, SEC Complaint, SEC suspension, Short Selling, Ting INc. Agri-Fintech Holdings Inc, Tingo Foods PLC, Tingo Group Inc, Tingo International Holdings Inc, Tingo Mobile Limited, TIO, TKCM, TMNA, Token Communities Ltd, Virtual medical International Inc
On September 20, 2024, the Securities and Exchange Commission (the “SEC” or “Commission”) issued an Administrative Order against securities attorney Matthew C. McMurdo for violating Section 4C of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule… Read More
Category: Blog Posts Tags: Administrative Action, Administrative Order, Enviro Impact Resources Inc, Industry Source Consulting Inc, INSO, Matthew C McMurdo, opinion letters, OTC Markets, Rule 102(e)(1)(ii), SEC, SEC Order, SEC suspension, Section 4C, Securities Act of 1934, Securities and Exchange Commission, Securities Attorney, VEGA, Vega Biofuels Inc
On September 17, 2024, the Securities and Exchange Commission (the “SEC“) charged five entities and three individuals in connection with two relationship investment scams involving fake crypto asset trading platforms NanoBit and CoinW6, respectively. The SEC’s two complaints… Read More
Category: Blog Posts Tags: CoinW6, crypto scam, Fei Liao, Hua Zhao, investment scam, Jiajie Liu, NanoBit Limited, Radiant Horizons Limited, relationship investment scam, relationship investment scheme, SEC, SEC Attorney, SEC Charges, SEC Complaint, Securities and Exchange Commission, Securities Attorney, Sweet Karma Fashion Inc., Zhao Tropical Deli Inc.
Understanding IPOs
An “IPO” is the initial public offering by a company of its securities. In an IPO, the company offers and sells stock, most often its common stock, through an underwriter. When a company cannot locate an underwriter, it… Read More
Category: Blog Posts Tags: accountant, auditor, CEO, CFO, Common Stock, Direct Public Offering, dodd-frank, DPO, Equity, Exchange Act of 1934, F-1, Form 8-A, Form S-1, Going Public, initial public offering, IPO, nasdaq, nyse, OTC Markets, Prospectus, Public Market, Raise Capital, research analyst, S-1, S-1 registration statement, SEC, SEC Comments, SEC Reporting Requirements, securities, Securities Act of 1933, Securities and Exchange Commission, Securities Attorney, Transfer Agent, Underwriter