SEC Blog - Securities & Going Public Lawyers

Court Issues Asset Freeze Over James Hugh Brennan and Douglas Albert Dyer in Fraud Case

On July 22, 2016, the Honorable Travis R. McDonough of the Eastern District of Tennessee entered a court-ordered asset freeze to halt an ongoing fraud by two former brokers with disciplinary histories who allegedly raised more than $5… Read More

Boiler Rooms Booming In 2015

Over the past few weeks, we have had multiple requests from investors to review information they received after calls from boiler room sales persons. No doubt the increase in phone rooms has resulted from Rule 506(c) which allows… 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

How Does the JOBS Act Benefit A Foreign Issuer?

Securities Lawyer 101 Blog As the Securities and Exchange Commission (“SEC”) finishes the rule making that provides a structure for full implementation of the JOBS Act, much has been written about its impact on going public transactions and… Read More

The Laws That Apply to Going Public & Being A Public Company

A private company going public is subject to three federal securities laws, each with its own unique requirements.  The three laws are the Securities Act of 1933 (the “Securities Act”), the Securities Exchange Act of 1934 (the “Exchange Act”) and… Read More

What Are the Benefits of Foreign Issuer Status in Going Public Transactions?

  Securities Lawyer 101 Blog A private foreign company seeking to go public may be classified as a U.S. domestic issuer or a non-U.S., private foreign issuer under SEC rules.  A company’s status as a private foreign issuer has… Read More

What is a Bad Actor Under Regulation D?

Securities Lawyer 101 Blog On January 3, 2014, the Securities and Exchange Commission (the “SEC”) released Compliance and Disclosure Interpretations.  The release provided useful information about several topics including the JOBS Act’s recently enacted Rule 506 (c) pursuant… Read More

SEC Issues New Rule 506 Guidance

 Securities Lawyer 101 Blog On January 3, 2014, the Securities and Exchange Commission (the “SEC”) released Compliance and Disclosure Interpretations.  The release provided useful information about several topics including the JOBS Act’s recently enacted Rule 506 (c) of Regulation D…. Read More

SEC Charges Curt Kramer l Securities Lawyer 101

Securities Lawyer 101 Blog On November 25, 2013, the Securities and Exchange Commission (the “SEC”) charged Curt Kramer with violating the federal securities laws when they purchased billions of shares in a pair of microcap companies and failed… Read More

SEC Issues Compliance and Disclosure Interpretation of Rule 506(c)

Securities Lawyer 101 Blog On November 13, 2013, the Securities and Exchange Commission (the “SEC”) Division of Corporation Finance issued several useful Compliance and Disclosure Interpretations related to Rule 506(c) of the JOBS Act. The Rule 506(c) Compliance… Read More