SEC Reporting Archives

SEC Form 8-K Current Reports, Filing Requirements l Securities Lawyer 101

July 9, 2019

Going Public – Regulation A+ – IPO Alternative

June 16, 2019

Regulation A contains two exemptions with unique requirements and benefits. Regulation A Tier 1 and Tier 2 allow the issuer to raise…

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…

Regulation A Form 1-A Offering Circular Disclosures – Going Public Lawyers

May 9, 2019

Regulation A Form 1-A Offering Statements require line item disclosure of information about the issuer and the offering. Form 1-A is subject…

Regulation A l The Colossal Exemption l Securities Lawyer 101

May 8, 2019

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…

Rule 163B and Testing the Waters

March 11, 2019

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…

Form F-1 Foreign Private Issuers and Going Public

February 7, 2019

Form F-1 Registration Statement Requirements, Filling, Effectiveness, Going Public

January 13, 2019

What is a SEC Registration Statement? Going Public Lawyer

January 13, 2019

Regulation A+ Q&A

December 14, 2018

Regulation A+ , Going Public and Secondary Trading

December 12, 2018

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