OTC Pink - Securities & Going Public Lawyers

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

States Challenge Regulation A+ – Securities Offerings

The recent amendments to Regulation A (often called Regulation A+) provide a manageable exemption for raising capital. The exemption can be used by both private and non-reporting trading companies such as OTC Pink listed issuers. Regulation A provides two… Read More

OTC Markets OTC Pink Sheets Q & A – Going Public Lawyers

Posted By Brenda Hamilton, Securities Lawyer In May of 2014, the OTC Markets Group approved new listing requirements for companies seeking quotation of their securities on the OTCQB® Venture Stage Marketplace.  To be quoted on the OTCQB® issuers must have… Read More

OTC Markets Q & A – Going Public Lawyers

Posted By Brenda Hamilton, Securities Lawyer The OTC Markets offer several different tiers for companies to choose from when considering their services. These are the OTCQX, OTCQB and OTC Pink marketplaces.  Companies that are trading on the OTC… Read More

Direct Public Offering Q & A – Going Public Lawyers

Going public transactions can be structured numerous ways. The going public process is a complicated & intricate procedure, and it is important to have an experienced securities attorney to help your company navigate through the process and deal with the Securities… 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

Can I Afford To Go Public on the OTCQB? – Going Public Lawyer

Going public requirements vary for companies seeking to go public on the OTC Markets, OTC Pink, and OTCQB marketplace.  The biggest difference is that most of the time (but not always) companies who go public on the OTCQB… 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

Paying Consultants & Stock Promoters With Stock – Going Public Lawyers

  It has become almost routine for OTC Markets listed issuers to pay for consulting services with their restricted shares of common stock.  The tradability of shares that can be issued to consultants is impacted by whether the company… Read More

SEC Charges Staten Island Company in Boiler Room Scam

On December 18, 2014, the Securities and Exchange Commission (“SEC”) charged a Staten Island company called Premier Links Inc. and its former president and two sales representative, Dwayne Malloy, Chris Damon, and Theirry Ruffin, with running a boiler… Read More