Material Event Reporting on the OTCID Market for Non-SEC Reporting Issuers
On July 1, 2025, OTC Markets Group replaced its Pink Current Information tier with the OTCID Market, a modernized disclosure platform aligned…
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Direct Public Offerings in 2025
A Direct Public Offering (DPO) is an effective method for going public. Private companies may also raise capital by selling securities directly…
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Navigating SEC Disclosures: Director and Executive Officer Information
Item 401 of Regulation S-K requires that companies make certain disclosures about their directors, executive officers, and nominees. This information helps shareholders…
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What is an Affiliate under SEC Rules?
Assessing affiliate status is a nuanced but crucial exercise for public companies, affecting everything from Rule 144 sales to registration eligibility and…
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Roadmap for a Successful Direct Public Offering
Preparing for a direct public offering or an initial public offering ("IPO") or takes both a commitment of time and money. Unlike an Initial Public Offering,…
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Does FINRA Rule 6490 Impact Going Public Transactions?
FINRA Rule 6490 has had an important impact on going public transactions specifically reverse mergers with public shell companies.
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What are SEC Periodic Reporting Requirements? Securities Lawyer 101
Companies become subject to the SEC’s periodic reporting requirements in several ways, including by filing a registration under the Securities Act of…
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Form S-1 Registration, Filing and Requirements, Form S-1 and Going Public
Private companies seeking to raise capital often file a registration statement on SEC Form S-1 to meet certain requirements of the Financial…
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Hamilton & Associates Law Group: Regulation A White Paper
Tier 1 of Regulation A provides an exemption for securities offerings of up to $20 million in a 12-month period, while Tier…
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Form S-1 Registration Statements Going Public NASDAQ NYSE and OTC Markets
All issuers qualify to use a Form S-1 Registration Statement in connection with going public to register the offer and sale of…
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