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Insights on securities law, exchange listings, going public, SEC reporting, and market regulation. Stay updated with our latest articles on capital markets compliance, regulatory developments, and strategic guidance for public and private companies.
The United States Supreme Court is once again poised to reshape the securities enforcement landscape. With its agreement to hear a case…
Read MoreSEC Whistleblower referrals tend to move faster when a submission aligns with the SEC’s publicly stated enforcement and examination priorities—especially where the…
Read MorePractical guidance on Rule 144 legal opinions, restrictive legend removal, and transfer agent processing, including shell company and 144 legal opinion considerations.
Read MoreOfficers, directors, and other insiders try to “control” the flow of public sales - sometimes under the banner of Rule 144 -…
Read MoreThe National Oceanic and Atmospheric Administration (NOAA) has taken a major step to modernize U.S. rules for deep-seabed mining. This update…
Read MoreThe digital transformation of finance has blurred the line between investor communication and viral marketing. In the past decade, social media platforms…
Read MoreSection 16(a) reporting requirements to directors and executive officers of foreign private issuers marks a significant evolution in U.S. securities regulation. The…
Read MoreChoosing the right exchange is one of the most important strategic decisions a company makes when going public. The New York Stock…
Read MoreA Nasdaq direct listing allows an issuer to list its common equity on the exchange without the traditional underwritten initial public offering…
Read MoreGoing public is about raising capital and gaining prestige. An exchange listing provides companies access to institutional capital, enhances liquidity for…
Read MoreThe U.S. Supreme Court has agreed to hear a case that could significantly limit the Securities and Exchange Commission’s (SEC) ability to…
Read MoreGoing public doesn’t just change how you raise capital; it changes how you talk. From the moment a company seriously starts down…
Read MoreCompanies seeking access to capital, liquidity, and market visibility have several pathways to becoming publicly traded. The most common methods include…
Read MoreA Form S-1 registration statement is the primary disclosure document used by companies seeking to go public in the United States. Whether…
Read MoreA reverse merger can be a viable path for a private company to gain a public listing, offering speed, cost efficiency, and…
Read MoreFINRA Rule 6490 authorizes the Financial Industry Regulatory Authority (FINRA) to review, delay, or refuse to process corporate actions for companies…
Read MoreFor issuers seeking to have their securities quoted on the OTC Markets, the submission and clearance of Form 211 by a…
Read MoreThis article details the Supreme Court petition in Xeriant, Inc. v. Auctus Fund, LLC, which challenges a Second Circuit opinion regarding Section…
Read MoreInitial listing requirements are the gatekeepers of the public markets. They calibrate who may access exchange‑based liquidity by aligning financial strength,…
Read MoreThe critical role of OTC Markets in facilitating secondary offerings and resales of restricted and control securities under SEC Rule 144. This…
Read MoreThis question-and-answer guide covers the legal and regulatory requirements for Nasdaq-listed companies holding their annual stockholder meetings. The article focuses on the…
Read MoreThe article explains the OTC Markets Group's multi-tiered disclosure framework, which categorizes companies traded on the over-the-counter (OTC) electronic quotation system. The…
Read MoreThis article discusses reverse mergers and the crucial need for post-merger compliance to ensure trading eligibility on OTC Markets. A reverse merger,…
Read MoreFor many retail investors, trading or depositing shares of OTC-traded companies is challenging. A significant number of brokerage firms impose restrictions—driven by…
Read MoreSEC Rule 12g3-2(b) offers a streamlined exemption for foreign private issuers to gain U.S. market visibility and access U.S. investors by qualifying…
Read MoreThis article provides a comprehensive guide to due diligence for investors interested in OTC IPOs and Pre-IPO Shares, emphasizing the high-risk nature…
Read MoreA Direct Public Offering (DPO) on the OTC Markets allows private companies to achieve public tradability and liquidity for existing shareholders without…
Read MoreThe article explains how public companies quoted on OTC Markets must handle corporate actions—such as name or symbol changes, stock splits, mergers,…
Read MoreThis article explains how issuers are downgraded to the OTC Markets Expert Market after losing quotation eligibility under SEC Rule 15c2-11, how…
Read MoreThis article from Hamilton & Associates Law Group explores liquidity and price discovery on the OTC Markets, highlighting their unique operations compared…
Read MoreExplore our curated collection of external resources and industry links that complement our blog content. These hand-picked links provide additional perspectives on securities law, market regulations, and business compliance.
