Form S1 - 29/31 - Securities & Forensic Lawyers

How Can I Register Shares On Form S-8 ?

Securities Lawyer 101 Blog Registration of securities on Form S-8 (“Form S-8”) is a short-form registration statement under the Securities Act of 1933, as amended (“Securities Act”).  Form S-8 is available to register securities offered to employees and… Read More

Market Makers in Going Public Matters l Securities Lawyer 101

Securities Lawyer 101 Blog The last step in going public transactions is most often obtaining a stock trading or ticker symbol from the Financial Industry Regulatory Authority (“FINRA”). For a company to obtain a ticker, a market maker must file… Read More

Initial Public Offerings l Going Public Attorneys

An Initial Public Offering (“IPO”) is often used by a private issuer seeking to go public as part of its going public transaction.  An IPO involves filing a registration statement with the SEC covering a securities offering. The… Read More

What Are Public Shell Companies?

Securities Lawyer 101 Blog In recent years, the Securities and Exchange Commission (“SEC”)  and the Financial Industry Regulatory Authority (“FINRA”)  have taken steps to limit transactions involving private companies going public using reverse mergers with public shell companies. One limitation… Read More

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