15c211 - Going Public Lawyers

What Disclosure Is Required By Rule 15c2-11?

Rule 15c2-11 under the Securities and Exchange Act of 1934 (Exchange Act) governs the submission and publication of quotations by brokers and dealers for OTC equity securities. Specifically, the rule applies to a broker-dealer’s initiation or resumption of… Read More

The Laws That Apply to Going Public & Being A Public Company

A private company going public is subject to three federal securities laws, each with its own unique requirements.  The three laws are the Securities Act of 1933 (the “Securities Act”), the Securities Exchange Act of 1934 (the “Exchange Act”) and… Read More

Why Do I Have To Hire a Transfer Agent When Going Public? – Going Public Lawyers

Transfer agents play a key role in the going public process.  Transfer agents are the record keeper for a company’s securities. Share ownership is reflected on the issuer’s shareholder list. Transfer agents issue and cancel certificates to reflect changes in… Read More

Going Public Law

Securities Lawyer 101 Blog A private company going public is subject to three federal securities laws, each with its own unique requirements.  The three laws are the Securities Act of 1933 (the “Securities Act”), the Securities Exchange Act… Read More

Form S-1 Registration Statement Attorneys

Securities Lawyer 101 Blog Many private companies file a registration statement filing with the SEC in connection with their going public transaction.  The most commonly used registration statement form is Form S-1. Hamilton & Associates can design the appropriate going public… Read More

15c2-11 Application Going Public Attorney

Securities Lawyer 101 Blog Many private companies that go public are opting for the listing on the OTCMarket’s Pink Sheets due to the increased costs and more stringent regulations associated with Securities and Exchange Commission (“SEC”) reporting.  Rule… Read More

Market Makers in Going Public Matters l Securities Lawyer 101

Securities Lawyer 101 Blog The last step in going public transactions is most often obtaining a stock trading or ticker symbol from the Financial Industry Regulatory Authority (“FINRA”). For a company to obtain a ticker, a market maker must file… Read More

Going Public – OTC Markets OTCQB – Going Public Lawyers

Securities Lawyer 101 Blog Many private companies seeking to go public are opting for going public transactions on the OTC Markets OTCQB.  The OTC Markets Group operates an electronic inter-dealer quotation system called OTC Link.  OTC Markets ranks… Read More