Market Maker - Securities l Corporate l Business Law

Going Public Using a Form S-1 Registration Statement

Going Public Using a Form S-1- 2018 Private companies going public commonly use a registration statement (“Registration Statement”) on Form S-1 under the Securities Act of 1933, as amended (the “Securities Act”). When a Form S-1 Registration Statement is… Read More

What is Form 10 Information? Going Public Attorneys

Securities Lawyer 101 Blog Form 10 is a Registration Statement used to register a class of securities pursuant to Section 12(g) of the Securities Exchange Act of 1934 (“Exchange Act”).  This blog post addresses common questions we receive… Read More

Regulation A+ Pointers For Going Public

An increasing number of issuers seeking to go public are opting for a direct public offering using Regulation A+.  The new rule provides many benefits for small companies seeking to raise capital without the costs of a traditional… Read More

The Laws That Apply To Going Public & Being Public

The first laws that apply to going public transactions are contained in the Securities Act of 1933 (the “Securities Act”). The Securities Act was followed by the Securities Exchange Act of 1934 (the “Exchange Act”). Going Public attorneys must… Read More

What is a Sponsoring Market Maker? Going Public Attorneys

  The last step in a going public transaction is for the company to receive a stock trading or ticker symbol from the Financial Industry Regulatory Authority (“FINRA”).  For a company to obtain its ticker symbol, a sponsoring market maker (“Sponsoring Market… Read More

Roadmap For a Successful Direct Public Offering

Preparing for a direct public offering or an initial public offering (“IPO”) or takes both a commitment of time and money.  Unlike an Initial Public Offering, a direct public offering does not involve an underwriter.  While it often takes a year or longer… Read More

How Do I Go Public on the OTC Pink? – Going Public Lawyer

Securities Lawyer 101 Blog Many private companies that go public are opting for the listing on the OTC Market’s OTC Pinks due to the increased costs and more stringent regulations associated with Securities and Exchange Commission (“SEC”) reporting. … Read More

How Does a Market Maker Get a Ticker? Going Public Lawyers

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… Read More

What is a Sponsoring Market Maker?

  The last step in a going public transaction is for the company to receive a stock trading or ticker symbol from the Financial Industry Regulatory Authority (“FINRA”).  For a company to obtain its ticker symbol, a sponsoring market maker (“Sponsoring… Read More

The Role of the Direct Public Offering Attorney

Securities Lawyer 101 Blog The direct public offering (“Direct Public Offering“) has become the premier method used in going public transactions.  A skilled Direct Public Offering attorney can guide a private company through the Direct Public Offering process. A… Read More