Crowfund - Going Public Lawyers

Securities Law & Going Public Attorneys

  Going public is a big step for any company.  The process of “going public” is complex and at times precarious.  While going public offers many benefits it also comes with risks and quantities of regulations with which… Read More

Direct Public Offerings After the JOBS Act

Securities Lawyer 101 Blog The Jumpstart Our Business Startups Act, or JOBS Act, is intended, among other things, to reduce barriers to capital formation, particularly for smaller companies in going public transactions.  The JOBS Act relaxed the rules… Read More

How Does the JOBS Act Benefit A Foreign Issuer?

Securities Lawyer 101 Blog As the Securities and Exchange Commission (“SEC”) finishes the rule making that provides a structure for full implementation of the JOBS Act, much has been written about its impact on going public transactions and… Read More

Transparency Bootcamp – BrokerCheck 101 By: Brenda Hamilton Attorney

Securities Lawyer 101 Blog Any investor seeking to find out information about a penny stock should begin by investigating management, brokers and the promoters involved with the issuer.  FINRA BrokerCheck provides a free online database about brokers and… Read More

SEC Guidance on Rule 147 Intrastate Offerings & Crowdfunding

On April 10, 2014, the Securities and Exchange Commission (“SEC”) issued a revised compliance and disclosure interpretation (“C&DIs”) and provided two new questions concerning crowdfunding under the JOBS Act and the intrastate exemption provided by Rule 147 under… Read More

OTCQB Fees & Listing Requirements

OTC Markets Group has announced it is making significant changes to its OTCQB.  Companies seeking to be quoted on the OTCQB will be required to meet eligibility standards and pay an initial listing fee of $2,500 to the… Read More

SEC Provides Additional Guidance For Rule 506(c) Offerings

Securities Lawyer 101 Blog On January 23, 2014, the Securities and Exchange Commission (the “SEC”) issued new guidance concerning Rule 506(c) in its Compliance and Disclosure Interpretations. In the Compliance and Disclosure interpretations, the SEC addresses Rule 506… Read More

What Is Caveat Emptor? Going Public Lawyers

Securities Lawyer 101 Blog The Latin phrase Caveat Emptor means “let the buyer beware.”  The application of the Caveat Emptor principle is most often applied in the sale of property where a purchaser has a specific period of… Read More

What Are the Benefits of Foreign Issuer Status in Going Public Transactions?

  Securities Lawyer 101 Blog A private foreign company seeking to go public may be classified as a U.S. domestic issuer or a non-U.S., private foreign issuer under SEC rules.  A company’s status as a private foreign issuer has… Read More

What Are Regulation Crowdfunding Disclosures?

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 crowdfunded offerings, pursuant to Title III of the Jumpstart Our… Read More