Securities Lawyer Blog l Going Public Blog

SEC Updates List of Firms Using Inaccurate Information to Solicit Investors

September 13, 2018

Deutsche Bank to Pay Nearly $75 Million for Improper Handling of ADRs

September 12, 2018

SEC Charges Unregistered Brokers Who Sold Woodbridge Securities to Main Street Investors

September 11, 2018

SEC Charges Mizuho Securities for Failure to Safeguard Customer Information

September 10, 2018

Citigroup to Pay More Than $10 Million for Books and Records Violations and Inadequate Controls

September 9, 2018

The Distinction Between Equity Crowdfunding and Rule 506(c) When Raising Capital

September 9, 2018

What is a Private Placement Memorandum – PPM? Going Public Lawyers

September 8, 2018

A private placement memorandum sometimes called a PPM is used by private companies in going public transactions and by existing public companies…

SEC Adopts Amendments to Simplify and Update Disclosure Requirements

September 8, 2018

SEC Charges Ameriprise Financial Services for Failing to Safeguard Client Assets

September 7, 2018

Rule 506 Roadmap l Ask Securities Lawyer 101

September 7, 2018

SEC Adopts Rule Amendments to Improve Municipal Securities Disclosure

September 6, 2018

Merrill Lynch Settles SEC Charges of Undisclosed Conflict in Advisory Decision

September 5, 2018

SEC Charges Technology Fund Adviser Michael B. Rothenberg, Founder in Fraudulent Scheme

September 4, 2018

How to Spot a Penny Stock Scam

September 4, 2018

SEC Chairman Clayton Announces Additional Investor Roundtable in Baltimore for Main Street Investors to ‘Tell Us’ About Their Investor Experience

September 3, 2018

SEC Charges Endurance International Group Holdings Inc. Executives With Inflating Operating Metrics

September 2, 2018

Barry Miller, Associate Director in Division of Investment Management, to Leave SEC After More Than 40 Years of Public Service

September 1, 2018

SEC Files Charges Gannon Giguiere in Busted Microcap Schemes

August 31, 2018

Former CEO Kevin Modany and CFO Daniel Fitzpatrick of ITT Barred and Ordered to Pay Penalties

August 28, 2018

SEC Files Additional Charges in Fitbit Stock Manipulation Scheme Against Mark Burns And Robert Murray

August 27, 2018

SEC Charges Credit Suisse With FCPA Violations

August 26, 2018

SEC Charges KBR for Inflating Key Performance Metric and Accounting Controls Deficiencies

August 25, 2018

SEC Charges BGC Financial For Failure to Preserve Documents and Maintain Accurate Books and Records

August 24, 2018

SEC Files Charges Core Performance Management LLC, RMR Asset Management Co in Municipal Bond “Flipping” and Kickback Schemes

August 22, 2018

SEC Charges Cloud Communications Company and Senior Executives Mark Greenquist And Michael Swade With Misleading Revenue Projections

August 11, 2018

Foreign Private Issuers NYSE Audit Committee Requirements

August 10, 2018

Section 4(a)(2) and Rule 506(b) Exempt Offerings – Securities Lawyer 101

August 10, 2018

Section 4(a)(2) of the Securities Act of 1933, as amended (the “Securities Act”) exempts Rule 506(b)securities offerings from the SEC’s registration requirements…

Foreign Private Issuer NYSE Audit Committee Requirements

August 9, 2018

SEC Updates List of Firms Using Inaccurate Information to Solicit Investors

Deutsche Bank to Pay Nearly $75 Million for Improper Handling of ADRs

SEC Charges Unregistered Brokers Who Sold Woodbridge Securities to Main Street Investors

SEC Charges Mizuho Securities for Failure to Safeguard Customer Information

Citigroup to Pay More Than $10 Million for Books and Records Violations and Inadequate Controls

The Distinction Between Equity Crowdfunding and Rule 506(c) When Raising Capital

What is a Private Placement Memorandum – PPM? Going Public Lawyers

SEC Adopts Amendments to Simplify and Update Disclosure Requirements

SEC Charges Ameriprise Financial Services for Failing to Safeguard Client Assets

Rule 506 Roadmap l Ask Securities Lawyer 101

SEC Adopts Rule Amendments to Improve Municipal Securities Disclosure

Merrill Lynch Settles SEC Charges of Undisclosed Conflict in Advisory Decision

SEC Charges Technology Fund Adviser Michael B. Rothenberg, Founder in Fraudulent Scheme

How to Spot a Penny Stock Scam

SEC Chairman Clayton Announces Additional Investor Roundtable in Baltimore for Main Street Investors to ‘Tell Us’ About Their Investor Experience

SEC Charges Endurance International Group Holdings Inc. Executives With Inflating Operating Metrics

Barry Miller, Associate Director in Division of Investment Management, to Leave SEC After More Than 40 Years of Public Service

SEC Files Charges Gannon Giguiere in Busted Microcap Schemes

Former CEO Kevin Modany and CFO Daniel Fitzpatrick of ITT Barred and Ordered to Pay Penalties

SEC Files Additional Charges in Fitbit Stock Manipulation Scheme Against Mark Burns And Robert Murray

SEC Charges Credit Suisse With FCPA Violations

SEC Charges KBR for Inflating Key Performance Metric and Accounting Controls Deficiencies

SEC Charges BGC Financial For Failure to Preserve Documents and Maintain Accurate Books and Records

SEC Files Charges Core Performance Management LLC, RMR Asset Management Co in Municipal Bond “Flipping” and Kickback Schemes

Foreign Private Issuers NYSE Audit Committee Requirements

Section 4(a)(2) and Rule 506(b) Exempt Offerings – Securities Lawyer 101

Foreign Private Issuer NYSE Audit Committee Requirements

SEC Charges U.S. Congressman Christopher Collins and Others With Insider Trading

Regulation A+ Guidebook