SEC Disclosure - Securities & Forensic Lawyers

What SEC Disclosure Is Required By Section 17(b) For Investor Relations Firms?

We are often contacted by investors, stock promoters and investor relations firms about the disclosures that must be provided in promotional websites, emails and other investor relations materials. Section 17(b) of the Securities Act of 1933 requires anyone who… Read More

Raising Capital and Going Public Guide 2014

There are two primary sets of federal securities laws that come into play when a company wants to offer and sell its securities and go public. These are the Securities Act of 1933 (“Securities Act”), and the Securities Exchange Act of… Read More

What Is a Smaller Reporting Company? Going Public Lawyer

Securities Lawyer 101 Blog Complying with the Smaller Reporting Company Rules The Securities and Exchange Commission (the “SEC”) adopted a system of disclosure rules for issuers who fall into the category of a smaller reporting company.   The… Read More

The SEC’s Electronic Data Gathering and Retrieval System – EDGAR

Most documents filed with the Securities and Exchange Commission (the “SEC”), are required to be filed electronically using the SEC’s Electronic Data Gathering and Retrieval system (“EDGAR”). Additionally, public companies filing on EDGAR must tag their financial data… Read More

Form 3, 4 & 5 Filing Requirements l By: Brenda Hamilton Attorney

Securities Lawyer 101 Blog After the recent sweep by the Securities and Exchange Commission(the “SEC”) charging 28 persons in connection with their failure to file insider reports, we have received requests for information about insider reporting obligations.  This… Read More

Retweets of Social Media & Public Companies

Securities Lawyer 101 Blog It has become almost routine for public companies to use social media to interact with their shareholders, and customers. The Securities and Exchange Commission (the “SEC”) has provided guidance in compliance and disclosure interpretations… Read More

SEC Periodic Reporting & Compliance

Securities Lawyer 101 Private and publicly traded companies that are reporting with the SEC must file periodic reports.  Not all publicly traded companies are required to file periodic reports with the SEC.   The SEC’s periodic reporting requirements… Read More

Form 8-K Attorneys l Securities Lawyer 101

Securities Lawyer 101 Blog Private companies going public should be familiar with the requirements of Form 8-K.  Once a company completes its going public transaction and its Form S-1 is effective,  it is required to comply with the… Read More

SEC Seeks to Reduce Gobbledygook Disclosures By: Securities Lawyer 101

Securities Lawyer 101 Blog This month, the Securities and Exchange Commission (the “SEC”) provided guidance related to the enhanced mutual fund disclosure amendments it adopted in 2009.  The SEC’s guidance is based on comments the staff of the Division of… Read More

SEC Charges Dr. Loretta Itri with Insider Trading of Genta

Brenda Hamilton, Securities Attorney On April 21, 2014, the Securities and Exchange Commission (the “SEC”) charged a former biopharmaceutical company executive and two others with insider trading on confidential information about the company’s key developmental drug.  The company’s… Read More