Going Public Lawyer’s Securities Law Resources
Securities Law Resources
Useful Links, Forms, Blogs & Resources
Going public typically refers to when a company undertakes its initial public offering, or IPO, by selling shares of stock to the public usually to raise additional capital. Going Public can also include a company that conducts a direct public offering or DPO. During its IPO or DPO, the company is subject to a myriad of regulations. After completion of its IPO or DPO, the company is subject to SEC reporting requirements and its securities often become listed on the OTC Markets or a national stock exchange.
As going public lawyers, we have prepared a list of resources and links for securities law and going public transactions that apply to both small and large companies.
Canadian Securities Regulators
Financial Crimes Enforcement Network
Financial Industry Regulatory Authority
FINRA Case Guide and Resources
Investment Adviser’s Act of 1940
Investment Company Act
LawBlogs.net
Securities Law Forms
Regulation A
Regulation S-K, Integrated Disclosure System
Regulation S-T, General Rules and Regulations for Electronic Filings
Regulation S-X, Accounting Rules
Rule 505
Rule 506
The Rules Promulgated Under the Securities Act of 1933
Securities and Exchange Commission
Securities and Exchange Commission Library
Securities Investor Protection Act of 1970
The Securities Exchange Act of 1934
Securities Law Forms
