Launching an Initial Public Offering (IPO) on the Nasdaq or NYSE is a significant milestone for companies aiming to access public capital markets. These prestigious exchanges offer visibility, liquidity, and credibility, but the process involves stringent regulatory oversight…. Read More
Category: Blog Posts Tags: conflict of interest, corporate financing, corporate governance, FINRA, FINRA filing requirements, Going Public, IPO, IPO timeline, nasdaq, NASDAQ Listing, nyse, NYSE Listing, Public Offering, public offering compliance, qualified independent underwriter, Registration Statement, Rule 5110, Rule 5121, S-1, s-3, Securities Attorney, securities regulation, stock exchange listing, underwriting compensation, underwriting terms
On July 1, 2025, OTC Markets introduced the OTCID Basic Market, replacing the OTC Pink Market. This new platform offers a streamlined way for both public and private companies looking to go public to trade their securities while… Read More
Category: Blog Posts Tags: Alternative Reporting, Change in Control, Company Verified Profile, compliance, corporate actions, Edgar, Financial Disclosure, Going Public, International Reporting, Investor Transparency, listing requirements, Management Certification, OTC Markets, OTCID, OTCID Basic Market, OTCID Listing, OTCID Quotation, OTCID Requirements, OTCIQ.com, Regulation A, Regulation Crowdfunding, SEC Reporting, Securities Attorney, Securities Laws, Transfer Agent, U.S. Bank Reporting
Form S-3 is a concise filing option that enables issuers to register a range of securities, such as common and preferred stocks, debt instruments, options, warrants, and guarantees. It supports both primary offerings (where the issuer sells its securities directly) and secondary offerings (where existing securities are resold by holders other than the issuer). The form accommodates immediate, future, or ongoing sales of securities, providing flexibility for issuers.
Category: Blog Posts Tags: accounting principle changes, audited financial statements, automatic shelf registration, business acquisitions, Exchange Act, Financial Statements, Form S-3, Going Public, incorporation by reference, primary offering, Prospectus Supplement, Registration Statement, Regulation S-X, SEC compliance, SEC Registration Statement, Secondary Offering, Securities Act, Securities Offering, securities registration, shelf registration, shelf takedown, well-known seasoned issuer, WKSI
An Initial Public Offering (IPO) represents a significant milestone for companies seeking to go public, particularly for smaller issuers targeting listings on exchanges such as the NASDAQ Capital Market or NYSE American. However, not all IPOs are successful,… Read More
Category: Blog Posts Tags: abandoned IPO, Exchange Act, Failed IPO, Form 15, Going Public, IPO failure reasons, nasdaq, NASDAQ IPO, nyse, NYSE American IPO, Rule 12h-3, Rule 430A, SEC compliance, SEC Reporting Obligations, Section 15(d), Securities Act, Securities Attorney, Staff Legal Bulletin No. 18, terminating SEC reporting
When a public company is registered under Section 12 or subject to Section 15(d) of the Securities Exchange Act of 1934, it must file periodic reports like Forms 10-K, 10-Q, and 8-K with the Securities and Exchange Commission… Read More
Category: Blog Posts Tags: compliance, Form 15, Public Company, SEC compliance, SEC Reporting, Section 12, Section 15(d), Securities Attorney, Securities Exchange Act, shareholder count, voluntary filer
Registration 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 issuers. Form S-8 is available to register securities offered to employees and consultants under benefit plans… Read More
Category: Blog Posts Tags: CorporateLaw, EmployeeStockPlans, EquityCompensation, FormS8, IPO, PublicCompanies, SECCompliance, SECfiling, SecuritiesAct, SecuritiesLaw, SPAC
The Securities and Exchange Commission (SEC) is mapping out plans to take over the functions of the Public Company Accounting Oversight Board (PCAOB) should Congress eliminate the board through a budget reconciliation bill.
Category: Blog Posts Tags: Accounting Standards, Audit Oversight, Audit Quality, Budget Reconciliation, corporate governance, Enron, Financial Regulation, inspections, International Audit, Investor Protection, Legislative Reform Federal Budget Cuts, PCAOB, public companies, Sarbanes-Oxley Act, SEC
Assessing affiliate status is a nuanced but crucial exercise for public companies, affecting everything from Rule 144 sales to registration eligibility and filing obligations. Misclassifying a shareholder as a non-affiliate can expose the company to underwriter liabilities, increased regulatory scrutiny, and compliance missteps.
Category: Blog Posts Tags: accelerated filers, Affiliate, Affiliate Defintion, Affiliate Status, corporate governance, Emerging Growth Company, Exchange Act, Form F-3, Form S-1, Form S-3, Form S-3 Eligibility, insider control, primary offerings, public companies, resale restrictions, Rule 144, Rule 405, SEC compliance, SEC regulations, secondary offerings, Securities Act, Securities Attorney, securities law, Selling Shareholders, Smaller Reporting Company, SOX 404 compliance
The Nasdaq Capital Market is a top choice for early-stage companies aiming to access public capital. Listing on the Nasdaq Capital Market isn’t just about prestige; it’s a strategic move to raise funds for growth, innovation, and expansion. Read our full guide for getting listed on the Nasdaq Capital Market,
Category: Blog Posts Tags: Business Growth, Capital Market listing requirements, Going Public, listing timeline, Nadaq Attorney, nasdaq, Nasdaq fees 2025, Nasdaq governance standards, Nasdaq Initial Listing Guide, Nasdaq IPO process, NASDAQ Lawyer, raising capital, SEC, Securities and Exchange Commission, Securities Attorney
Learn how the SEC’s Dealer Rule targeted toxic lenders in penny stock markets — and why its defeat means ongoing risks for OTC issuers reliant on convertible notes and death-spiral financing.
Category: Blog Posts Tags: 15c2-11, Almagarby, Alternative Investment Management, amended rule, Amended Rule 15c2-11, amendment, amendments, appeal, APS, Boiler Room, Broker, broker-dealer, Capital, CE, CEO, Commission, company, Complaint, compliance, congress, Convertible Note, Convertible Notes, court, crypto, Crypto Task Force, Dealer, Dealer Registration, death spiral, death spiral financing, Defendants, Democrats, Dilution, discount, District Court, enforcement, enforcement action, enforcement actions, Equity, Exchange Act, Exchange Act of 1934, Expert Market, federal securities laws, felon, financing, FINRA, Gary Gensler, Grey Market, hedge funds, Hester Peirce, investment, investments, investor, Investor Loss, Investor losses, investors, IR, IRS, John Fife, judge, judgment, Justin Keener, law, laws, lawsuit, Lenders, litigation, management, Market, Market Adjustable, Microcap, Microcap Equity, Microcap Equity Group, Microcap Equity Group LLC, money, National Association of Private Fund Managers, offer, Open Market, otc, OTC Issuer, OTC issuers, OTC Markets, Penny Stock, Penny stocks, preferred stock, promissory note, promoter, Promotion, proposal, Public, Public Market, Pump, Quotation, registration, regulation, regulations, Republican, reverse split, Risk, Rule 144, Rule 15c2-11, rules, SAR, scheme, SEC, SEC enforcement, SEC filer, SEC regulation, SEC regulations, SEC Rule, sec rules, securities, Securities and Exchange, Securities and Exchange Commission, Securities Exchange, Securities Exchange Act, Securities Exchange Act of 1934, securities law, Securities Laws, Selling Stock, Shell, Shell Companies, shell peddler, stock, stock price, Stock Promotion, stock promotions, stocks, The Exchange Act, toxic, toxic financier, toxic financing, Toxic Funder, Toxic Funders, Toxic Lender, toxic lenders, toxic lending, Trader, trading, Treasury, unregistered, Unregistered Dealer, unregistered dealers, unregistered securities, variable-rate, war
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
Category: Blog Posts Tags: Form 8-K Current Report, Form 8-K Lawyer, Form 8-K material event disclosure, information asymmetry, Investor Protection, Investor Relations, long-term business strategy, market volatility, regulatory reform, SEC disclosure rules, SEC Form 8-K, SEC Reporting Requirements, Securities Attorney, securities law changes, Securities Lawyer, semi-annual reporting requirements, short-termism in markets, Trump proposal to end quarterly reporting, U.S. capital markets
The Financial Industry Regulatory Authority (FINRA) oversees the processing of corporate action requests for companies trading in the over-the-counter (OTC) markets under Rule 6490. Corporate actions include name and symbol changes, stock splits, dividends, mergers, acquisitions, and domicile changes, all of which must be submitted through FINRA’s Corporate Actions Management Platform at gateway.finra.org
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Issuers must provide detailed documentation such as articles of amendment, board resolutions, shareholder consents, CUSIP confirmations, transfer-agent verifications, and a complete corporate history. FINRA reviews each submission, may request additional information, and publishes approved actions on its Daily List, which announces changes effective on the next trading day.
Because incomplete or inconsistent filings can result in processing delays or rejections, companies are encouraged to engage experienced securities counsel. Hamilton & Associates Law Group, P.A., based in Boca Raton, Florida, assists issuers in preparing and submitting FINRA corporate action
Category: Blog Posts Tags: board resolution, cash dividend, Corporate Actions Management Platform, corporate history disclosure, CUSIP confirmation, FINRA attorney, FINRA Corporate Action Lawyer, FINRA Corporate Actions, FINRA Daily List, gateway.finra.org, Hamilton & Associates Law Group, mergers and acquisitions, microcap compliance, name change, OTC Markets corporate actions, reverse stock split, Rule 6490, Rule 6490 attorney, Rule 6490 lawyer, SecuritiesLawyer101.com, shareholder consent, stock dividend, Stock Split, symbol change, transfer agent verification, UPC forms
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
NYSE and Nasdaq require that independent directors not hold management positions at the public company, its parents or subsidiaries. Additionally, former executives are not considered independent for 3 years after their departures. Other NYSE and Nasdaq rules require independent directors not to be significantly dependent on the company financially. The NYSE Listed Company Manual warns that boards making independence determinations should “broadly consider all relevant facts and circumstances” (Commentary to Section 303A.02(a)).
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 to plan for and complete an IPO, a direct public offering can be completed in as little as 90 days, using Form S-1. Unlike a Form 10 registration statement, Form S-1 will create unrestricted securities.
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 Whistleblower Program was created by Congress to provide monetary incentives for individuals to come forward and report possible violations of the federal securities laws to the SEC. Under the program, eligible whistleblowers are entitled to an award between 10 and 30% of the monetary sanctions collected in actions brought by the SEC and related actions brought by certain other regulatory and law enforcement authorities.
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
A Comprehensive Review of Trends, Cases, and Compliance Takeaways
Prepared by Hamilton & Associates Law Group, P.A. — Securities Lawyer 101. This publication is for informational purposes only and does not constitute legal advice.
Category: Blog Posts Tags: Blockchain & Digital-Asset Enforcement, Broker-Dealer & Market-Structure Actions, Crowdfunding, Fraud Misuse of Investor Funds, ICO, Initial Coin Offering, insider trading, Issuers, market manipulation, Promoters, Remove term: SEC Enforcement) SEC Enforcement), SEC Accounting Misconduct, SEC Action, SEC Administrative Proceeding, SEC Case, SEC Concept Releases, SEC Court Actions, SEC disclosure, SEC enforcement, SEC Litigation, SEC Policy
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
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