What Rules Apply to Investor Relations Activity? Stock Promotion Guide

Investor relations or stock promotion involves the dissemination of information about a public company to increase its stock price and trading volume. The person who publishes this information  is sometimes referred to as a “Stock Promoter”.  A Stock… Read More

Blue Sky Laws and Secondary Trading and Resales in Regulation A Offerings

State Blue Sky laws apply to Regulation A Offerings for both the offer and sale of securities by the issuer and the resale by investors.  A sometimes overlooked consideration in  Regulation A+ offerings is how these State Blue… Read More

SEC Actions & Administrative Proceedings

Most public companies realize that the Securities and Exchange Commission (the “SEC”) is a law enforcement agency.  Receiving an SEC subpoena is a new experience for most market participants. SEC Actions can involve a case in federal court or… Read More

The Role of The Going Public Attorney – Securities Lawyer 101

The role of the going public attorney is one of the most important in the going public process.  The going public attorneys at Hamilton & Associates Law Group have provided private companies with their going public solutions for over 15 years. A skilled OTC… Read More

Filing a Form S-1 Registration Statement? Going Public Lawyers

All companies going public should consider Form S-1 registration statement filing requirements when contemplating their securities offering. Form S-1 provides flexibility.

What is a Private Placement Memorandum? Rule 506 Attorneys

A private placement memorandum (“PPM”) is also referred to as a confidential offering circular or memorandum.  PPM’s are used by private companies  in going public transactions and by existing public companies to raise capital by selling either debt… Read More

Form 10 Registration, Form 10 Effective Date – Securities Lawyer 101

Registration Statements on Form 10 (“Form 10”) become effective automatically after 60 days. Form 10 registration covers a class of securities under Section 12(g). Form 10 effectiveness is automatic.

Ask Securities Lawyer 101 l Form 12b-25 Q & A

Form 12b-25 provides an extension of public company SEC reporting requirements to certain filers which have difficulty meeting the Securities and Exchange Commission’s (“SEC”) reporting due dates.

Initial Public Offerings l IPO Going Public Attorneys

An Initial Public Offering (“IPO”) is often used by a private issuer seeking to go public as part of its going public transaction.  An IPO involves filing a registration statement with the SEC covering a securities offering. The… Read More

OTCQX Markets Dual Listing- OTCQX Eligibility, Listing, Quotation

The OTC Markets OTCQX offers foreign issuers seeking to go public in the U.S. an appealing alternative to listing on a stock exchange.  Foreign issuers whose securities are listed on a foreign stock exchange that qualify for the… Read More

The Going Public Lawyer’s Guidebook – Securities Lawyer 101

The Going Public Lawyers Guidebook By Hamilton & Associates Securities Law Group, P.A. Caution: Use Only as Directed Going Public transactions can be structured a number of ways.  Traditional sources of capital for companies include loans from financial… Read More

Going Public With A DPO – Going Public Securities Attorneys

One of the most efficient and cost effective ways to achieve public company status is by using a Direct Public Offering.  The Direct Public Offering Attorneys at Hamilton & Associates will assist you with your Direct Public Offering… Read More

Going Public Attorneys & Drafting Disclosures

A going public attorney is one of the most important participants in the going public process.  The going public attorneys at Hamilton & Associates Law Group have provided private companies with their going public solutions for over ten years. A skilled going public attorney can design… Read More

Going Public Lawyer- DPO Attorney- Brenda Hamilton

Going public transactions can be structured numerous ways. The going public process is a complicated & intricate procedure, and it is important to have an experienced securities attorney to help your company navigate through the process and deal with the Securities… Read More

SEC Inquiries and Investigations

The SEC’s Enforcement Division conducts investigations pursuant to formal Orders of Investigation that authorize the staff of the Enforcement Division to seek the production of relevant information, either in the form of documents or witness testimony.  Although the SEC… Read More

What is a Going Public Lawyer?

The role of the Going Public Lawyer is one of the most important in the going public process.  The Going Public Lawyers at Hamilton & Associates Law Group have provided private companies with their going public ons for over… Read More

The Going Public Lawyer’s Dictionary

The Going Public Lawyer’s Dictionary was created to assist companies to become familiar with certain terms they will encounter during their going public transaction.  It is crucial that you understand and can speak the going public lingo!

Overview of Disclosures Drafted by a Going Public Lawyer

Private companies seeking public company status should weigh the benefits and risks before going public. The right going public attorney can help you weigh these risks and avoid many of the pitfalls surrounding going public transactions.  A going… Read More

What Is SEC Schedule 14-C? Going Public Lawyers

Securities Lawyer 101 Blog A Schedule 14-C attorney prepares a proxy statement when a public company holds its stockholders’ meeting each year and when the issuer holds special meetings to vote on corporate actions such as name changes… Read More

Schedule 14-A Lawyers

Securities Lawyer 101 Blog Schedule 14-A contains the SEC’s proxy rules.  Public companies hold a stockholders’ meeting annually and hold special meetings to vote on special corporate actions such as name changes and mergers.  Shareholder voting on takes… Read More

SEC Updates EDGAR Manual

Client Alert On December 15, 2014, the SEC updated Volume I and Volume II of its EDGAR Filer Manual . Changes to the Edgar Manual include: A new exhibit type EX – 1.01 is now available on EDGARLink Online for submission… Read More

Going Public Forms

One of the primary purposes of the federal securities laws is to require companies making a public offering of securities to disclose material business and financial information so that investors may make informed investment decisions. The securities laws… Read More

Money Laundering 101

Securities Lawyer 101 Blog Posted By: Brenda Hamilton Attorney The Bank Secrecy Act (“BSA”) requires financial institutions in the United States to assist U.S. government agencies to detect and prevent money laundering activity. The BSA, also called the Currency… Read More

What is the OTC Link® ATS?

OTC Link LLC (OTC Link) is owned by OTC Markets Group Inc.  OTC Link is an electronic inter-dealer quotation system that displays quotes from broker-dealers for many over-the-counter (OTC) securities.  OTC Link is registered with the SEC as… Read More

OTCQX Listing, Eligibility & Quotation

OTC Markets Group organizes securities into the OTCQX®, OTCQB® and OTC Pink® categories based on the level of disclosure provided and the listing fees paid by the issuer.  OTCQX Quotation of a company is considered to be the highest… Read More

OTC Markets FAQ – OTC Markets Attorneys

The OTC Markets offers several different tiers for companies to chose from when considering their services. These are the OTCQX, OTCQB and OTC Pink marketplaces.  Companies going public on the OTC Markets span a broad range of sectors,… Read More

Practice Areas – The Going Public Lawyers

Hamilton & Associates Law Group encompasses a wide variety of going public, corporate and securities law specialties, including, among others, continuing forensic analysis of domestic and international financial, stock trading, securities and money laundering transactions, general representation of… Read More

Notable Representation – Hamilton & Associates

The going public attorneys at Hamilton & Associates have represented issuers seeking to direct public offerings, secondary offerings and initial public offerings.  The firm has represented more than 300 corporate entities and market participants in securities and corporate finance matters. The… Read More

Services – Going Public Lawyers – Direct Public Offerings

The securities and going public lawyers at Hamilton & Associates Law Group provide private and public companies with reliable representation in various types of going public transactions, securities related transactions, Securities and Exchange Commission (“SEC”) disclosure and defense and… Read More

Moving On Up To The OTC Pink Current

Companies quoted on the OTC Markets with an OTC Pink tier fall into one of three categories. These are identified on www.otcmarkets.com as current information, limited information or no information based upon the amount of information provided. An OTC Pink… Read More