Securities Lawyer Blog l Going Public Blog

SEC Legal Opinion Requirements for Registered Offerings: What Issuers Need to Know

May 12, 2026

Nasdaq $5 Million Minimum Offering Nasdaq amended Listing Rules 5405 and 5505 for IPOs and OTC Uplistings

May 11, 2026

Nasdaq SPAC Listing Rules: New 2026 IPO Standards for SPACs on the Nasdaq Global Market and Nasdaq Capital Market

May 11, 2026

SEC Proposes Semiannual Reporting Option for Public Companies

May 8, 2026

Securities Lawyers Gone Wild: SEC Says M&A Deal Files Became an Insider Trading Pipeline

May 8, 2026

Uplisting After Going Public: Moving from OTC to Nasdaq or NYSE (2026 Edition)

April 30, 2026

Understanding the Role of IPO Underwriters in Going Public Transactions

April 29, 2026

Top 10 Myths About Going Public

April 28, 2026

Super 10-K for Delinquent SEC Filings: How to Request SEC Permission, Requirements and Risks

April 22, 2026

Going Public Without an Underwriter: The Direct Public Offering Advantage

April 22, 2026

From Private to Public: How to Prepare for SEC Disclosure Requirements

April 21, 2026

Choosing the Right Path to the Public Markets: IPO, DPO, Reverse Merger, or Regulation A+

April 20, 2026

Understanding Form 10 Shell Companies: A Guide to Exchange Act Registration

April 20, 2026

Why U.S. Deep-Sea Mining Companies Need an Industry Association Now

April 17, 2026

Free Writing Prospectus (FWP) vs Testing-the-Waters (TTW) Communications

March 24, 2026

Nasdaq and NYSE Governance Counsel | Continued Listing Attorneys

March 20, 2026

A New Era for Administrative and Penny Stock Bars

March 12, 2026

Understanding Regulation S-K Item 401: Officer and Director Disclosure Requirements

March 5, 2026

Removing Restrictive Legends From Stock: Legal Opinions, Florida Law, UCC Article 8, Rule 144

March 3, 2026

Section 16a Delinquency Disclosures: A Guide to Regulation S-K Item 405

February 26, 2026

Nasdaq Director Independence Standards, Rule 5605, A Practical Compliance Guide for Public Companies

February 23, 2026

Testing the Waters (TTW) Under SEC Rule 163B: QIB/IAI Guide, Do’s & Don’ts

February 16, 2026

Stock Promotion on Message Boards (InvestorsHub, Stocktwits, Seeking Alpha, Investor Village): SEC Rules, Risks, and 17(b) Disclosures

February 13, 2026

Deep Sea Mining Litigation Risk: What NOAA’s New Rule and the UK License Challenge Mean for Capital Raises

February 12, 2026

Free Writing Prospectus (FWP) Rules for Form S-1 Registration Statements

February 10, 2026

Latest SEC Trading Suspensions Should Be a Wake-Up Call for Foreign Issuers

February 3, 2026

To Disgorge or Not to Disgorge: That Is the Question—The Supreme Court Puts SEC Enforcement to the Test

January 27, 2026

SEC Whistleblower Program Under the Trump Administration: Referral Hot Spots and Tip Themes (Broker-Dealers, Transfer Agents, Penny Stocks, and OTC Markets)

January 26, 2026

When Denying Rule 144 Legal Opinions is a Market Manipulation Scheme

January 25, 2026

Practical guidance on Rule 144 legal opinions, restrictive legend removal, and transfer agent processing, including shell company and 144 legal opinion considerations.

The “Genius” Plan: Penny Stock Insiders vs. Section 5 (Guess Who Wins)

January 24, 2026

Officers, directors, and other insiders try to “control” the flow of public sales - sometimes under the banner of Rule 144 -…

Copyright © 2026 · All Rights Reserved · Hamilton & Associates Law Group, P.A.