Going Public Attorneys - Securities & Forensic Lawyers

Aegis Oil and President Patrick Beason Charged with Oil and Gas Fraud

On September 29, 2016, the Securities and Exchange Commission (“SEC”) charged Aegis Oil, LLC and its President and CEO Patrick Reagan Beason with defrauding investors in oil and gas projects managed by Aegis. According to the SEC’s complaint filed… Read More

OTC Markets 101 – The Basics of Listing

Posted by Brenda Hamilton, Securities and Going Public Lawyer OTC Markets Group (“OTC Markets”) requires companies seeking quotation of their securities on the OTCQB® Venture Stage Marketplace (“OTCQB”) have an initial and ongoing $0.01 per share minimum bid price,… Read More

FAST Reduces Form S-1 Rules & Creates Resale Exemption

Last month, the Fixing America’s Surface Transportation Act, or FAST Act became law. The FAST Act is primarily a transportation bill but there are changes to the federal securities laws which should assist in the capital raising process… Read More

SEC Late Filers 101 – Going Public Attorneys

It’s that time of year again when companies filing reports with the Securities and Exchange Commission (“SEC”) that have a December 31st year end, must file their annual report on Form 10-K. Recent enforcement actions against SEC filers and insiders… Read More

OTCQB Listing, Eligibility & Quotation – Going Public Lawyers

Posted by Brenda Hamilton, Securities and Going Public Lawyer OTC Markets Group (“OTC Markets”) requires companies seeking quotation of their securities on the OTCQB® Venture Stage Marketplace (“OTCQB”) have an initial and ongoing $0.01 per share minimum bid… Read More

Equity Crowdfunding Approved – Going Public Attorney

The Securities and Exchange Commission voted 3-1 to approve the long awaited equity crowdfunding rules. Equity Crowdfunding was adopted pursuant to Title III of the Jumpstart Our Business Act (JOBS Act). As adopted today, the rule allows companies to… Read More

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

SEC Addresses Equity Crowdfunding – Going Public Attorney

On October 30, 2015, three years after The JOBS Act became law, the Securities and Exchange Commission (SEC) will vote to in an Open Meeting to consider whether to: adopt rules and forms related to the offer and… Read More

Cry Me A River – DTC Chills & Global Locks – Going Public Attorneys

Securities Lawyer 101 Blog The Depository Trust and Clearing Corporation (“DTCC”), through its subsidiaries, provides clearing, settlement and information services for securities.  DTCC’s subsidiary, the Depository Trust Company (“DTC”), was created to improve efficiencies and reduce risk in… 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