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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