IPO - Securities & Forensic Lawyers

What is a NYSE Designated Market Maker? Posted by Brenda Hamilton

One of the most important decisions for a company going public is to choose the right market for listing the company’s shares. This is true for initial public and direct public offerings. The New York Stock Exchange (“NYSE”)… 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

$32 Million Amber Mining Pyramid Scheme Halted by the SEC

  On October 1, 2015, the Securities and Exchange Commission (“SEC”) announced it had frozen the assets and filed fraud charges against the operator of a worldwide pyramid scheme who falsely promised investors that they would profit from a… Read More

SEC Charges Manny Shulman and David Hirschman

On September 3, 2015, the Securities and Exchange Commission (“SEC”) charged Manny J. Shulman and David Hirschman for their involvement in the fraudulent, unregistered sale of securities of Caribbean Pacific Marketing, Inc. (“Caribbean Pacific”), a now-defunct Florida corporation… Read More

Regulation A+ Lawyers & Going Public Attorneys

Regulation A+ Lawyers & Going Public

Regulation A+ is designed to facilitate smaller companies’ access to capital by providing an alternative to direct public offerings/DPO’s and initial public offerings/IPO’s.  Regulation A+’s new rules provide investors with more investment choices and issuers with more capital raising options during… Read More

Regulation A+ Lawyers – Sponsoring Market Maker Attys

  Do I Need A Sponsoring Market Maker To Get A Ticker After My Regulation A+ Offering Is Qualified? Regulation A+’s new rules provide investors with more investment choices and issuers with more capital raising options during their going public… Read More

Regulation A+ Attorneys – Avoid Reverse Mergers

How To Use Regulation A+ To Go Public Without A Reverse Merger On March 25, 2015, the Securities and Exchange Commission (the “SEC”) adopted amendments to Regulation A pursuant to the mandate of Section 401(a) of the JOBS Act.  The amended rules known as Amended… Read More

Form 10 vs Form 8-A Registration Statements

Simultaneously or subsequent to the effectiveness of a registration statement under the Securities Act of 1933, as amended (the “Securities Act”) for an initial public offering (IPO) or direct public offering (DPO), issuers can file a registration statement under the… Read More

Brenda Hamilton Featured By Intuit About Direct Public Offerings and Going Public

Intuit Inc., a provider of small business software solutions, including QuickBooks, tackles accounting, taxes, budgets, and personal finances with TurboTax. Quicken featured an interview with  Securities Attorney Brenda Hamilton.* Brenda Hamilton practices Securities Law focusing on Direct Public Offerings… Read More

Going Public Strategies – Going Public Attorneys

Posted by Brenda Hamilton, Securities and Going Public Lawyer Going Public can involve a variety of structures depending upon each company’s specific needs.  Companies seeking to Go Public can involve an Initial Public Offering (IPO), Direct Public Offering (DPO),… Read More