Form 211 - Securities & Forensic 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

Going Public With A DPO – Going Public Securities Attorneys

One of the most efficient and cost effective ways to achieve public company status is by using a Direct Public Offering.  The Direct Public Offering Attorneys at Hamilton & Associates will assist you with your Direct Public Offering… Read More

Going Public Shareholder Requirements l Going Public Lawyers

The going public process involves a number of steps that vary depending on the characteristics of the private company wishing to go public, and whether it will become a Securities and Exchange Commission (“SEC”) reporting company. All companies seeking… Read More

Regulation A+ Pointers For Going Public

More issuers going public are opting for a direct public offering using Regulation A+. The new rule provides many benefits for small companies seeking to raise capital without the costs of a traditional initial public offering (IPO) or reverse merger transaction.  Direct… Read More

What is a Sponsoring Market Maker? Going Public Attorneys

  The last step in a going public transaction is for the company to receive a stock trading or ticker symbol from the Financial Industry Regulatory Authority (“FINRA”).  For a company to obtain its ticker symbol, a sponsoring market maker (“Sponsoring Market… Read More

Rule 144 Q & A – Going Public Lawyers

The Securities Act of 1933, as amended (the “Securities Act”) requires the sale of a security to be registered under the Securities Act, unless the security or transaction qualifies for an exemption from registration. Rule 144 of the Securities… Read More

OTC Markets OTC Pink Sheets Q & A – Going Public Lawyers

Posted By Brenda Hamilton, Securities Lawyer In May of 2014, the OTC Markets Group approved new listing requirements for companies seeking quotation of their securities on the OTCQB® Venture Stage Marketplace.  To be quoted on the OTCQB® issuers must have… Read More

OTC Markets Q & A – Going Public Lawyers

Posted By Brenda Hamilton, Securities Lawyer The OTC Markets offer several different tiers for companies to choose from when considering their services. These are the OTCQX, OTCQB and OTC Pink marketplaces.  Companies that are trading on the OTC… Read More

Direct Public Offering Q & A – Going Public Lawyers

Going public transactions can be structured numerous ways. The going public process is a complicated & intricate procedure, and it is important to have an experienced securities attorney to help your company navigate through the process and deal with the Securities… Read More

What Documents Do Going Public Attorneys Review?

Proper disclosure is critical during the going public process.  SEC disclosures are most often prepared by the company’s going public attorney. The securities laws require that companies provide expansive disclosures in registration statements filed with the Securities and Exchange… Read More