Crowdfund Lawyer - Securities & Going Public Lawyers

Crowdfunding Portals & Platforms 101

The JOBS Act includes provisions to allow intermediaries known as “Crowdfunding Portals” or “Crowdfunding Platforms” to assist companies with raising capital using the internet.  Crowdfunding Portals will serve as attractive capital raising centers for private companies seeking to go public in… Read More

SEC Charges Chris Choi & Poker Player Danny Kuo

On April 23, 2014, the Securities and Exchange Commission(“SEC”) filed insider trading charges against a former accounting manager at Nvidia Corp. who tipped a friend with confidential company information that set in motion a chain of tipping and illegal… Read More

Regulation Crowdfund For Investors

Securities Lawyer 101 Blog On October 23, 2013, the Securities and Exchange Commission (“SEC”) proposed Regulation Crowdfund, setting forth the rules governing the offer and sale of securities through equity crowdfunded offerings, pursuant to Title III of the… Read More

A New Crowdfunding Watchdog in Massachusetts

Securities Lawyer 101 Blog Consumer watchdogs and the Securities and Exchange Commission (“SEC”) as well are aware that certain provisions of the new Rule 506 created in connection with the JOBS Act could encourage fraud if not effectively… Read More

Will Form 12b-25 Extend 10-Q’s Due Date? l Securities Lawyer 101

Securities Lawyer 101 Blog Rule 12b-25 of the Securities Exchange Act of 1934 (the “Exchange Act”) requires SEC reporting companies to provide notice on Form 12b-25 if it is unable to file its report on Form 10-Q within… Read More

SEC Settles Charges against RINO International

Securities Lawyer 101 Blog On May 15, 2013, Dejun “David” Zou and Jianping “Amy” Qiu settled the enforcement action brought by the Securities and Exchange Commission stemming from their alleged looting of Chinese reverse merger company, RINO International Corp.  According to… Read More

Rule 144 For OTC Pink Companies – Going Public Lawyers

Securities Lawyer 101 Blog The Securities Act of 1933, as amended (the “Securities Act”) requires the offer and sale of a security be subject to an effective registration statement under the Securities Act, unless the security or transaction… Read More