FINRA Archives

The Evolving SEC Actions Against Toxic Lenders

November 6, 2023

SEC Adopts new Rule 10c-1a to Increase Transparency in the Securities Lending Market

October 14, 2023

Form S-1 Registration Statements Going Public NASDAQ NYSE and OTC Markets

October 9, 2023

All issuers qualify to use a Form S-1 Registration Statement in connection with going public to register the offer and sale of…

SEC Charges Philip Verges, James D. Tilton, Jr., Robert F. Malin and Linda Malin

September 27, 2023

SEC Enforcement Issues Wells Notices for Meta Materials Execs

August 8, 2023

SEC Arrives Too Late; Ponzi Scheme Polka Ends in Murder-Suicide

July 10, 2023

Hester Peirce Asks: Are SEC Penny Stock Bars Fair?

June 24, 2023

FINRA Presents the Warning Signs of a Ramp and Dump Scheme

June 22, 2023

SEC Charges Auctus Fund Management LLC and Its Co-Owners, Louis Posner and Alfred Sollami, with Acting as Unregistered Securities Dealers

June 1, 2023

SEC Obtains Final Judgment Against Thomas Ronk, Former Short Seller Opportunist

June 1, 2023

OTC Markets provides guidance on understanding FINRA Daily Short Sale Volume Data

May 26, 2023

Reverse Mergers After Amended Form 15c-21

April 13, 2023

Gonzalo Ortiz Sentenced to 30 Months’ Imprisonment for Defrauding Investor and Lying about his Trading Experience

February 6, 2023

OTC Markets Group Publishes Guidance on Dilution Risk with Respect to OTCQX and OTCQB Applicants

December 19, 2022

SEC Charges J.H. Darbie & Co with Anti-Money Laundering Violations

December 15, 2022

Joseph Padilla Arrested and Charged in $7 Million Securities Fraud

November 4, 2022

SEC Registration Statements And Direct Public Offerings Q & A

October 24, 2022

OTC Markets Group Reflects on Amended Rule 15c2-11

October 13, 2022

Rule 506(b) and Rule 506(c) Private Placements under Regulation D

October 6, 2022

Going Public and Direct Public Offerings Provide Benefits in 2022

August 25, 2022

SEC Charges Broker-Dealer Alpine Securities Corporation and Two Employees with Engaging in Unauthorized Securities Transactions

August 11, 2022

OTC Markets Listing and Quotation – OTCQB Requirements

April 28, 2022

What Is the OTC Markets Expert Market? Securities Lawyer Blog

April 13, 2022

Quotes of securities in the Expert Market are “Unsolicited Only,” which means that trades of securities subject to unsolicited quotation in the Expert…

FINRA Extended Hearing Panel Expels Alpine Securities and Orders $2.3 Million in Restitution

March 27, 2022

Attorney Andrew Coldicutt faces SEC charges after getting caught in an FBI sting

March 2, 2022

Court Says Toxic Note is Usurious

November 13, 2021

Will Small Cap Investors Embrace Donald Trump’s DWAC? The latest Reddit Meme Stock

October 25, 2021

Section 12(j) – SEC Termination of Registration, Revocation and Trading Suspensions

September 30, 2021

The Evolving SEC Actions Against Toxic Lenders

SEC Adopts new Rule 10c-1a to Increase Transparency in the Securities Lending Market

Form S-1 Registration Statements Going Public NASDAQ NYSE and OTC Markets

SEC Charges Philip Verges, James D. Tilton, Jr., Robert F. Malin and Linda Malin

SEC Enforcement Issues Wells Notices for Meta Materials Execs

SEC Arrives Too Late; Ponzi Scheme Polka Ends in Murder-Suicide

Hester Peirce Asks: Are SEC Penny Stock Bars Fair?

SEC Charges Auctus Fund Management LLC and Its Co-Owners, Louis Posner and Alfred Sollami, with Acting as Unregistered Securities Dealers

SEC Obtains Final Judgment Against Thomas Ronk, Former Short Seller Opportunist

OTC Markets provides guidance on understanding FINRA Daily Short Sale Volume Data

Reverse Mergers After Amended Form 15c-21

Gonzalo Ortiz Sentenced to 30 Months’ Imprisonment for Defrauding Investor and Lying about his Trading Experience

OTC Markets Group Publishes Guidance on Dilution Risk with Respect to OTCQX and OTCQB Applicants

SEC Charges J.H. Darbie & Co with Anti-Money Laundering Violations

SEC Registration Statements And Direct Public Offerings Q & A

OTC Markets Group Reflects on Amended Rule 15c2-11

Rule 506(b) and Rule 506(c) Private Placements under Regulation D

Going Public and Direct Public Offerings Provide Benefits in 2022

SEC Charges Broker-Dealer Alpine Securities Corporation and Two Employees with Engaging in Unauthorized Securities Transactions

OTC Markets Listing and Quotation – OTCQB Requirements

What Is the OTC Markets Expert Market? Securities Lawyer Blog

FINRA Extended Hearing Panel Expels Alpine Securities and Orders $2.3 Million in Restitution

Attorney Andrew Coldicutt faces SEC charges after getting caught in an FBI sting

Court Says Toxic Note is Usurious

Section 12(j) – SEC Termination of Registration, Revocation and Trading Suspensions

Forms 211: OTC Markets’ New Role – Quotation, Trading Suspensions and Listing

Amended Rule 15c-211 Is Only a Week Away – Going Public, Form S-1, Form 211