Securities Offerings - Securities & Forensic Lawyers

OTC Markets Prepares For Regulation A+ – Going Public

On March 25, 2015, the Securities and Exchange Commission (“SEC”) adopted amendments to Regulation A. The new rules, known as “Regulation A+,” update and expand the existing Regulation A, and are mandated by Title IV of the Jumpstart Our… Read More

Risk Alert – Penny Stock Deposits | Hamilton & Associates

On September 9, 2014, the Securities and Exchange Commission (the “SEC”) published a Risk Alert concerning the obligations of broker-dealers who engage in unregistered penny stock transactions on behalf of their customers.  The SEC publication of the staff… Read More