Form S-1 Registration Statements Going Public NASDAQ NYSE and OTC Markets
All issuers qualify to use a Form S-1 Registration Statement in connection with going public to register the offer and sale of…
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Executive Order 13959 Sees Its First Casualties
On November 12, 2020, President Donald Trump signed Executive Order 13959. The executive order prohibits all U.S. Investors (institutional and retail alike)…
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SEC Approves NYSE Plan for Direct Listings
On Tuesday, the US Securities and Exchange Commission (SEC) approved a proposed plan by the New York Stock Exchange (NYSE) to let…
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SEC Charges The Cheesecake Factory For Misleading COVID-19 Disclosures
On Friday, the Securities and Exchange Commission (the "SEC") announced that it had settled charges against The Cheesecake Factory Incorporated (CAKE) for…
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Nasdaq Announces New Proposed Listing Requirements to Advance Diversity
On December 1, 2020, the Nasdaq Stock Market LLC filed a proposal with the U.S. Securities and Exchange Commission ("SEC") to adopt…
Read MoreCongress passes a Bill that forces Chinese stocks to meet US accounting standards
The U.S. House of Representatives unanimously passed legislation on Wednesday that would kick Chinese companies off U.S. stock exchanges if they do…
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SEC Form 3, Insider Reporting Requirements
Form 3 must be filed within ten (10) calendar days after a person becomes a Section 16 insider. Form 3 is a…
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SEC Trading Suspensions Under the Securities Exchange Act
When the SEC issues a trading suspension pursuant to Section 12(k), trading in the security is halted for the period set forth…
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Public Company SEC Reporting Requirements -SEC Requirements to Go Public
Public Company SEC Reporting Requirements - SEC Requirements to Go Public, Going Public Attorneys. Companies filing registration statements with the SEC become…
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Blue Sky Laws and Secondary Trading and Resales in Regulation A Offerings
There are two offering tiers, Tier 1 and Tier 2 in Regulation A+ and each is treated differently under both SEC and…
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