Pink Sheets - 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

Securities Lawyers Gone Wild – John Briner Criminally Charged

The walls are closing in on former securities attorney John Briner.  In the past two months, he’s been criminally charged in the Provincial Court of British Columbia, sued by the U.S. Commodity Futures Trading Commission (“CFTC”), and disciplined… 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 List On the OTC Pinks Using a Reverse Merger? Going Public Lawyers

Securities Lawyer 101 Blog One way for private companies to go public is through a Reverse Merger (“Reverse Merger”) with a public shell company.  Securities regulators tend to look askance at Reverse Mergers, fearing they may be used as vehicles… Read More

How Can I Go Public Via a Slow PO?

Securities Lawyer 101 Blog Many owners of small businesses give thought to going public, but wonder if the risks and the expense may outweigh the rewards. They’ve heard that traditional Initial Public Offerings (“IPOs”) using registration statements are complicated… Read More

What is the OTC Pink Current Tier? Going Public Lawyers

Securities Lawyer 101 Blog Q. What is the OTC Markets OTC Pink Current Tier? A. Companies on the Pink Sheets are assigned to one of three tiers by the OTC Markets based upon the amount of disclosure the… Read More

OTC Pink Sheets l Going Public Attorney

Securities Lawyer 101 Blog Private companies seeking to go public are opting to list on the OTC Markets OTC Pink Current tier.  Companies seeking to public company status can list on the OTC Pink Current tier without filing… Read More

OTC Markets OTC Pink Sheets Uplisting – Going Public

Securities Lawyer 101 Blog The OTC Markets Group operates an electronic inter-dealer quotation system called OTC Link that broker-dealers use to trade securities not listed on a national securities-related exchange.  OTC Markets rank issuers in tiers; each issuer’s… Read More

Rule 144 For OTC Pink Companies – Going Public Lawyers

Securities Lawyer 101 Blog The Securities Act of 1933, as amended (the “Securities Act”) requires the offer and sale of a security be subject to an effective registration statement under the Securities Act, unless the security or transaction… Read More

Rules of the Road l Uplisting to the OTCMarkets OTC Pink Sheets

Securities Lawyer 101 Blog The OTCMarkets Group operates an electronic inter-dealer quotation system called OTC Link that broker-dealers use to trade securities not listed on a national securities-related exchange.  OTCMarkets rank issuers in tiers; each issuer’s rank depends… Read More