Going Public Lawyer’s Securities Law Resources

Securites Law Resources

Securities Law Resources

Useful Links, Forms, Blogs & Resources

Going public typically refers to when a company undertakes its initial public offering, or IPO, by selling shares of stock to the public usually to raise additional capital. Going Public can also include a company that conducts a direct public offering or DPO.  During its IPO or DPO, the company is subject to a myriad of regulations.  After completion of its IPO or DPO, the company is subject to SEC reporting requirements and its securities often become listed on the OTC Markets or a national stock exchange.

As going public lawyers, we have prepared a list of resources and links for securities law and going public transactions that apply to both small and large companies.

Canadian Securities Regulators

Financial Crimes Enforcement Network

Financial Industry Regulatory Authority

FINRA Arbitrator Resources

FINRA Case Guide and Resources

Go Public 101

Investor Education Links

Investment Adviser’s Act of 1940 

Investment Company Act

 JOBS Act 101


NASAA Forms List

Securities Law Forms

Regulation A

Regulation D  

Regulation S-K, Integrated Disclosure System

Regulation S-T, General Rules and Regulations for Electronic Filings

Regulation S-X, Accounting Rules 

Rule 504 

Rule 505 

Rule 506

The Rules Promulgated Under the Securities Act of 1933  

Securities and Exchange Commission

Schedule of SEC Forms

Securities and Exchange Commission Library

Securities Investor Protection Act of 1970 

State Securities Regulators

Studies On Investor Behavior

The Securities Act of 1933 

The Securities Exchange Act of 1934

Securities Law Forms