Form S1 - 29/31 - Securities & Going Public Lawyers

Securities Lawyers Gone Wild l Brian Reiss

Securities Lawyers Gone Wild Series Securities Lawyer 101 Blog On March 8, 2013, the Securities and Exchange Commission (the “SEC”) charged Brian Reiss, a California securities lawyer, with churning out baseless legal opinions for penny stocks traded on the OTC… Read More

Going Public – OTC Markets OTCQB – Going Public Lawyers

Securities Lawyer 101 Blog Many private companies seeking to go public are opting for going public transactions on the OTC Markets OTCQB.  The OTC Markets Group operates an electronic inter-dealer quotation system called OTC Link.  OTC Markets ranks… Read More

Boca Raton Attorney William J. Reilly Indicted For Securities Fraud

Securities Lawyer 101 Blog Lawyers Gone Wild Series On October 24, 2012, Boca Raton securities lawyer William J. Reilly was arrested by the FBI for allegedly engaging in a scheme to fraudulently sell stock in a company called Caribbean… Read More

What Is Section 16 Reporting? Securities Lawyer 101

Securities Lawyer 101 Blog Section 16(a) of the Exchange Act of 1934 (the “Exchange Act”) requires the reporting of beneficial ownership by the officers, directors and stockholders who hold stock directly or indirectly, beneficially owning more than 10% of… Read More

The Securities Act of 1933

Securities Lawyer 101 Blog The Securities Exchange Act of 1933, as amended (the “1933 Act”) is often referred to as the “truth in securities” law. The 1933 Act requires disclosure of financial and other material information about securities that are… Read More

Securities Registration and the Emerging Growth Company

If a private company undertakes a public offering, the Securities Act of 1933, as amended (the “1933 Act”) requires the private company to file a registration statement with the SEC before it may offer its securities for sale… Read More

How Do I Go Public to Raise Capital?

Securities Lawyer 101 Blog A private or public company can raise capital in a variety of ways. Traditional sources of capital for companies include loans from financial institutions such as a bank, or from friends and family as… Read More

How Did the JOBS Act Change Mandatory Exchange Act Registration?

Securities Lawyer 101 Blog On April 5, 2012, President Obama signed the Jumpstart Our Business Startups Act (the “JOBS Act”), which is intended to help smaller and emerging growth companies access the U.S. capital markets. The JOBS Act… Read More

Securities Exchange Act Registration Statements

Securities Lawyer 101 Blog All public companies whose securities are registered on a national securities exchange, and generally issuers  whose assets exceed $10,000,000 with a class of equity securities held by 500 or more persons, must register their… Read More

The SEC Registration Statement Process- Going Public

Securities Lawyer 101 Blog SEC Review & Comment Process The Securities and Exchange Commission (the “SEC”) oversees the securities laws and is the key regulator of securities offerings and the registration statement process.  The SEC regulates securities professionals… Read More