SEC Staff Gears Up to Absorb PCAOB Duties if It’s Abolished
The Securities and Exchange Commission (SEC) is mapping out plans to take over the functions of the Public Company Accounting Oversight Board…
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What is an Affiliate under SEC Rules?
Assessing affiliate status is a nuanced but crucial exercise for public companies, affecting everything from Rule 144 sales to registration eligibility and…
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Nasdaq Initial Listing Guide: Capital Market Standards (2025)
The Nasdaq Capital Market is a top choice for early-stage companies aiming to access public capital. Listing on the Nasdaq Capital Market…
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SEC Dealer Rule Collapse: Impact on Toxic Lenders & OTC Penny Stocks
Learn how the SEC's Dealer Rule targeted toxic lenders in penny stock markets — and why its defeat means ongoing risks for…
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FINRA Corporate Action Requests
The Financial Industry Regulatory Authority (FINRA) oversees the processing of corporate action requests for companies trading in the over-the-counter (OTC) markets under…
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Ronald Bauer Sentenced To 20 Months For Pump-And-Dump Scheme
On March 20, 2025, the United States Attorney for the Southern District of New York announced that RONALD BAUER was sentenced to…
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When is a NYSE and NASDAQ Director independent? Independent Director Compliance
NYSE and Nasdaq require that independent directors not hold management positions at the public company, its parents or subsidiaries. Additionally, former executives…
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Roadmap for a Successful Direct Public Offering
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,…
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Whistleblower Frequently Asked Questions
The Whistleblower Program was created by Congress to provide monetary incentives for individuals to come forward and report possible violations of the…
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SEC Enforcement Actions and Regulatory Evolution 2019–2025
A Comprehensive Review of Trends, Cases, and Compliance Takeaways Prepared by Hamilton & Associates Law Group, P.A. — Securities Lawyer 101. This…
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