Going Public Lawyers - Securities & Forensic Lawyers
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
How Do I Register A Direct Public Offering?
Securities Lawyer 101 Blog Private companies seeking to go public often use a direct public offering (“Direct Public Offering”). Unlike an Initial Public Offering (“IPO”), a Direct Public Offering allows an issuer to sell its shares directly to investors without… 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
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
SEC Brings Charges In Reverse Merger Scam – Going Public Attorneys
On September 10, 2015, the Securities and Exchange Commission (SEC) announced fraud charges against a Wall Street CEO and his company, family members, and business associates accused of secretly obtaining control and manipulating the stock of Chinese companies… Read More
What Are Fiduciary Duties? Going Public Attorneys
A fiduciary duty exists where trust and confidence is placed in another. Fiduciary duties arise in many different contexts in securities matters and the going public process. Fiduciary duties also arise from a written agreement that authorizes another… Read More
What In The World Is A Security? Going Public Lawyers
A company going public must understand which capital raising methods involve a “security”. A company is only subject to federal and state securities laws if it is selling what is defined as a “security.” If you are selling stock… Read More
