Brenda Hamilton Attorney - Securities & Going Public Lawyers

Owners of North Star Finance LLC Charged with Fraud

On September 21, 2016, North Star Finance LLC, G. Thomas Ellis, and Yasuo Oda entered consents to settle the SEC’s charges against them. Without admitting or denying the allegations in the SEC’s complaint, North Star, Ellis, and Oda… Read More

Court Enters Final Judgment in Wings Network Pyramid Scheme Case

A federal court in Boston, Massachusetts, recently entered final judgments by consent against six defendants in an ongoing enforcement action filed by the Securities and Exchange Commission (“SEC”) in February 2015. The SEC charged two Portuguese companies operating… Read More

RPM International Charged with Disclosure and Accounting Failures

On September 9, 2016 the Securities and Exchange Commission (“SEC”) charged Ohio-based chemical company RPM International Inc. and its General Counsel, Edward Moore, with failing to disclose a material loss contingency, or record an accrual for, a government… Read More

FINRA Amends Regulation NMS

The Financial Industry Regulatory Authority  has adopted amendments to its rules related to the operation of the Regulation NMS Plan to Address Extraordinary Volatility following a trading pause or regulatory halt.  FINRA Rule 6121.01 (Resumption of Trading in Securities… Read More

OTC Markets 101 – The Basics of Listing

Posted by Brenda Hamilton, Securities and Going Public Lawyer OTC Markets Group (“OTC Markets”) requires companies seeking quotation of their securities on the OTCQB® Venture Stage Marketplace (“OTCQB”) have an initial and ongoing $0.01 per share minimum bid price,… Read More

SEC Regulation A+ Meeting on Emerging Companies

On July 14, 2016, the Securities and Exchange Commission (“SEC”) announced the agenda for its July 19 meeting of its Advisory Committee on Small and Emerging Companies.  The SEC Committee will focus on the first year of Regulation A+,… Read More

Equity Crowdfunding Approved – Going Public Attorney

The Securities and Exchange Commission voted 3-1 to approve the long awaited equity crowdfunding rules. Equity Crowdfunding was adopted pursuant to Title III of the Jumpstart Our Business Act (JOBS Act). As adopted today, the rule allows companies to… Read More

SEC Addresses Equity Crowdfunding – Going Public Attorney

On October 30, 2015, three years after The JOBS Act became law, the Securities and Exchange Commission (SEC) will vote to in an Open Meeting to consider whether to: adopt rules and forms related to the offer and… Read More

Securities Lawyer 101 Blog Wins Third Place In Best Legal Blog Contest

Our readers have spoken.  Securities Lawyer 101 written by Brenda Hamilton, a securities and going public attorney has won third place in overall winners in The Expert Institute’s Best Legal Blog Competition. From a field of more than 2,000 legal… Read More

NYSE Amends Rules For The Release of Material News

  Halts Before Open Under the amended NYSE Listed Company Manual, between 7:00 a.m. and the opening of trading, the NYSE can implement a regulatory halt if (i) the listed company has informed the NYSE staff that it intends… Read More