Rule 15c2-11 Archives

Short Sale and Short Seller Rules – Regulation SHO Lawyers

March 12, 2020

Is Form 10 Registration Different than Form S-1?

January 29, 2020

Practical Considerations in Regulation A+ Offerings

January 6, 2020

Regulation A offers an alternative to the traditional methods of filing a Registration Statement on Form S-1 or Form F-1 to raise…

Non-Traditional IPO: Direct Listing Process (DLP)

December 2, 2019

Finra Investigates BNP Paribas

November 4, 2019

Regulation A Offerings – Blue Sky Requirements

October 22, 2019

Our Comment to the SEC Regarding Rule 211 (15c2-11) – Sponsoring Market Makers

October 17, 2019

Blue Sky, Form 211, Regulation A, Regulation A Secondary Sales, Regulation A Tier 2, Regulation A+. Tier 1, Reporting Company, Rule 15c2-11,…

SEC Proposes Rule 15c2-11 Changes – Form 15c-211 Attorneys

October 16, 2019

The object of the new proposed changes to Rule 15c2-11 is the same as it was in 1998 and 1999: to cut…

SEC Adopts New Rule to Modernize Regulation of Exchange-Traded Funds

October 16, 2019

What is a Penny Stock? Securities Lawyer 101

May 27, 2019

The term "penny stock" refers to a security issued by a company whose shares that trades at less than $5 per share…

What is Form 211? Rule 15c-211, Sponsoring Market Maker Requirements

May 2, 2019

Locating a sponsoring market maker to file the Form 211 under Rule 15c-211 has become a challenging step in the going public…

Direct Public Offering Attorneys – Securities Lawyer 101

February 16, 2019

To ensure the proper structure, a Direct Public Offering Attorney should be engaged in the initial stages of the going public process…

SEC Charges Four in Fraudulent Microcap Manipulation Scheme Orchestrated Through International Accountotc mar

November 28, 2018

Court Enters Final Judgment in Case Against Immigration Lawyer, Steve Qi and His Law Firm

November 23, 2018

Hurricane Restoration Company and Executives Settle SEC Accounting Fraud Charges

November 21, 2018

SEC Announces Resolution of Civil and Criminal Actions Against Former CFO of Information Technology Company Alternative Reporting, Alternative Reporting Requirements, Direct Public Offering, Direct Public Offering Attorney, Direct Public Offering Attorneys, Direct Public Offering Lawyer, Exchange Act, Form 1-A, Form 1-K, Form 1-SA, Form 1-Z, Form 211, Form S-1, Form S-1 Attorney, Form S-1 Lawyer, Form SEC, Go Public Direct, Going Public Attorney, Going Public Attorneys, Going Public Lawyer, Going Public Lawyers, Market Maker, OTC Markets, OTC Markets Alternative Reporting, OTC Markets and Sponsoring Market Maker, OTC Markets Attorney, OTC Markets Group, OTC Markets Lawyer, OTC Markets Link, OTC Markets Market Maker, OTC Markets OTC Pink, OTC Markets OTCAX, OTC Markets OTCQB, OTC Markets OTCQX, OTC Markets Sponsoring Market Maker, OTC Pink, OTC Pink Market, OTCQB, OTCQB lawyer, OTCQX, Registered Direct Public Offering, Registration Statement, Regulation A, Regulation A Qualification, Regulation A Reporting, Rule 15c2-11, SEC Effectiveness, SEC Qualification, SEC Reporting, SEC Reporting Obligations, SEC Reporting Requirements, Securities Act

November 20, 2018

SEC Announces Settlement in Fraud Case Against OTC Markets IIssuer and Cornelius Peterson

November 19, 2018

SEC Settles Claims Against James V. Mazzo Former Chairman/CEO of Advanced Medical Optics, Inc.

November 16, 2018

SEC Charges in OTC Markets Scam – Mark Burnett, Jeffrey Miller, Christian Romandetti, Frank Sarro, Anthony Vassallo, and Elite Stock Research

November 16, 2018

Biopharmaceutical Company Clovis Oncology Inc. & Executive Patrick Mahaffy Charged With Misleading Investors About Cancer Drug

October 11, 2018

Short Sale and Short Seller Rules – Regulation SHO Lawyers

Is Form 10 Registration Different than Form S-1?

Practical Considerations in Regulation A+ Offerings

Non-Traditional IPO: Direct Listing Process (DLP)

Finra Investigates BNP Paribas

Regulation A Offerings – Blue Sky Requirements

Our Comment to the SEC Regarding Rule 211 (15c2-11) – Sponsoring Market Makers

SEC Proposes Rule 15c2-11 Changes – Form 15c-211 Attorneys

SEC Adopts New Rule to Modernize Regulation of Exchange-Traded Funds

What is Form 211? Rule 15c-211, Sponsoring Market Maker Requirements

Direct Public Offering Attorneys – Securities Lawyer 101

SEC Charges Four in Fraudulent Microcap Manipulation Scheme Orchestrated Through International Accountotc mar

Court Enters Final Judgment in Case Against Immigration Lawyer, Steve Qi and His Law Firm

Hurricane Restoration Company and Executives Settle SEC Accounting Fraud Charges

SEC Announces Settlement in Fraud Case Against OTC Markets IIssuer and Cornelius Peterson

SEC Settles Claims Against James V. Mazzo Former Chairman/CEO of Advanced Medical Optics, Inc.

SEC Charges in OTC Markets Scam – Mark Burnett, Jeffrey Miller, Christian Romandetti, Frank Sarro, Anthony Vassallo, and Elite Stock Research

OTC Markets Public Companies Charged With Failing to Comply With Form 10-Q Requirements

SEC Awards Almost $4 Million to OTC Markets Whistleblower

Business Services Company Barrett Business Services Inc. and Former CFO James D. Miller Charged With Accounting Fraud

SEC Obtains Relief to Fully Reimburse Retail Investors Sold Unsuitable Product By Cadaret, Grant & Co. Inc.

Business Services Company Barrett Business Services Inc. and Former CFO James D. Miller Charged With Accounting Fraud

SEC Shuts Down $345 Million Fraud and Obtains Asset Freeze From Kevin B. Merrill, Jay B. Ledford, And Cameron Jezierski

Biopharmaceutical Company Clovis Oncology Inc. & Executive Patrick Mahaffy Charged With Misleading Investors About Cancer Drug

SeaWorld and Former CEO James Atchison to Pay More Than $5 Million to Settle Fraud Charges

SEC Charges Citigroup for Dark Pool Misrepresentations

Broker-Dealer Cowen Execution Services LLC to Pay $2.75 Million Penalty for Providing Deficient Blue Sheet Data

SEC Charges Hedge Fund Adviser Gregory Lemelson With Short-and-Distort Scheme