Securities Lawyer Blog l Going Public Blog

Direct Public Offerings Q&A By Securities Lawyer 101

March 21, 2024

Form S-1 Registration, Filing and Requirements, Form S-1 and Going Public

March 19, 2024

Private companies seeking to raise capital often file a registration statement on SEC Form S-1 to meet certain requirements of the Financial…

Form 10 Registration Statements Q & A

March 15, 2024

Hamilton & Associates Law Group: Regulation A White Paper

March 15, 2024

Tier 1 of Regulation A provides an exemption for securities offerings of up to $20 million in a 12-month period, while Tier…

Form S-1 Registration Statement Attorneys – Going Public Lawyers

March 12, 2024

Toxic Funders: Unregistered Dealers, Short Sellers, or Both?

March 11, 2024

2024 Form 10K and 10-K Deadlines Chart

March 11, 2024

Ibrahim Almagarby Loses Unregistered Dealer Appeal

February 21, 2024

SEC Obtains Final Judgment against Jeffrey Auerbach for Role in Bribery Scheme

February 12, 2024

Rule 144 Legal Opinions and Legend Removal Q&A

February 12, 2024

SEC Consent Judgments: Speak Now, or Forever Hold Your Peace

February 6, 2024

SEC Rules Affecting Rule 144 Legal Opinions and Shell Companies

February 2, 2024

SPAC Settles SEC Fraud and Conflict of Interest Charges

February 1, 2024

SEC Charges Founder of $1.7 Billion “HyperFund” Crypto Pyramid Scheme Xue Lee (aka Sam Lee) and Top Promoter Brenda Chunga (aka Bitcoin Beautee) with Fraud

January 30, 2024

SEC Charges Aryeh Goldstein, Adar Bays, LLC, and Adar Alef, LLC for Failure to Register; Defendants Agree to Pay $1.25 Million to Settle

January 26, 2024

Frederick L. Sharp, Luis Carrillo, Courtney M. Kelln, Mike K.G. Veldhuis, and Paul Sexton Indicted for Long-Running Pump-and-Dump Schemes

January 16, 2024

Aditya Raj Sharma Indicted for $10 million Investment Fraud

January 15, 2024

SEC Charges Jonathan Farber, Aarif Jamani, and Brian Keasberry with Securities Fraud

January 13, 2024

Siddharth Jawahar Indicted for Running a Multi-Million Dollar Ponzi Scheme

January 9, 2024

Finra Proposes Rule Change for Stricter Limits for Brokers Borrowing From Clients

January 5, 2024

SEC Charges Florida Real Estate Developer Rishi Kapoor with Perpetuating a $93 Million Fraud

January 4, 2024

Short Selling: What It Is, and What It Isn’t

December 21, 2023

SEC Charges Dozy Mmobuosi, Tingo Group Inc, AgriFintech Holdings Inc. (f/k/a Tingo Inc.), and Tingo International Holdings Inc with Running a Massive Fraud

December 18, 2023

New SEC Exemption from Registration for M&A Brokers

December 8, 2023

Raymond Pirrello, Jr, Founder and Executive of Prior2IPO and Late Stage, Charged in Investment Fraud

December 7, 2023

Swiss Private Bank, Banque Pictet, Admits To Conspiring With U.S. Taxpayers To Hide Assets And Income In Offshore Accounts And Agrees to Pay More Than $122.9 Million

December 5, 2023

Why are Microcaps Trading on the NASDAQ and NYSE Exchanges?

November 29, 2023

Form S-3 Registration For NASDAQ, NYSE and OTC Markets Public Companies

November 25, 2023

LG Capital Funding Loses Motion to Dismiss

November 17, 2023

Overview of Regulation D, Rule 506(b), Rule 506(c) and other Capital-Raising Exemptions

November 16, 2023