Securities Law and Going Public Blog

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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.

Latest Blog Posts

The Exchange Act Lawyer’s Role In Going Public Matters

Securities Lawyer 101 Form 10 registration statements and Exchange Act reporting are required by Securities Exchange Act of 1934 (the “Securities Exchange…

Securities Lawyers Gone Wild – Todd Duckson

Regulation S-K Item 702

Securities Law Blog Issuers filing registration statements on Form S-1 for direct public offerings in their going public transactions must comply with Regulation S-K Item 702. Item 702…

Why Companies Going Public Need a Securities Lawyer

Securities Lawyer 101 Blog Companies going public must comply with federal and state securities laws. Section 5 of the Securities Act of…

SEC Charges Five With Short Sale Violations

Securities Lawyer 101 Blog The Securities and Exchange Commission (“SEC”) has charged five short sellers who were traders for committing short selling violations. According to the SEC, the short sellers…

Regulation S-K Item 510

Posted by Brenda Hamilton Lawyer – Securities Lawyer 101 Blog Issuers filing registration statements on Form S-1 for direct public offerings in…

Form S-1 Item 11A Material Changes

Securities Law Blog Issuers filing registration statements for their direct public offering in going public transactions must comply with Item 11A of…

Regulation S-K Item 103

Securities Lawyer 101 Blog Issuers filing registration statements on Form S-1 for direct public offerings in their going public transactions must comply…

The SEC’s Cross-Border Security Swap Rules

Securities Lawyer 101 Blog The Securities and Exchange Commission (“SEC”) adopted the first of a series of rules and guidance on cross-border…

SEC Announces Tick Size Plan

Securities Law Blog On June 25, 2014, the Securities and Exchange Commission (the “SEC”) announced its tick size plan whereby it ordered…

Regulation S-K Item 202 Securities Law Blog

Issuers filing registration statements on Form S-1 for direct public offerings in their going public transactions must comply with Regulation S-K Item 202. Item 202 requires expansive disclosure…

Regulation S-K Item 509

Securities Law Blog Issuers filing registration statements on Form S-1 for direct public offerings in their going public transactions must comply with Regulation S-K Item 509. Item 509…

FINRA Brings Transparency to Rule 144A Corporate Debt Transactions

On June 30, 2014, the Financial Industry Regulatory Authority (“FINRA”) began publicly disseminating Rule 144A transaction data in corporate debt securities, bringing…

FINRA Fines Goldman Sachs Execution & Clearing $800,000

Securities Lawyer 101 Blog On July 1, 2014, the Financial Industry Regulatory Authority (“FINRA”) announced that it had fined Goldman Sachs Execution…

Securities Lawyers Gone Wild – Marcus Luna

On June 27, 2014, the U.S. District Court of Nevada issued an order imposing sanctions against a securities attorney, Marcus Luna, three…

SEC Charges 3 Regions Bank Executives

Securities Lawyer 101 Blog On June 25, 2014, the Securities and Exchange Commission (the “SEC”) announced fraud charges against three former senior…

Being Publicly Traded By: The Going Public Lawyers

Securities Lawyer 101 Blog After an issuer completes its going public transaction, an issuer that has filed a registration statement for an…

Regulation S-K Item 507 – Going Public Attorneys

Issuers filing registration statements on Form S-1 must provide the Information required by Item 507 of Regulation S-K. Selling security holder disclosures…

FINRA Bars Success Trade Securities By: Brenda Hamilton Attorney

Securities Lawyer 101 Blog This month Success Trade Securities was ordered to pay $13.7 million in restitution and expelled by a Financial…

Transparency Bootcamp – Custodianship Disclosures In Reverse Mergers

Securities Lawyer 101 Blog Recently custodianship and/or receivership proceedings involving publicly traded companies have been in the spotlight because of the increasing…

Transparency Bootcamp – BrokerCheck 101 By: Brenda Hamilton Attorney

Securities Lawyer 101 Blog Any investor seeking to find out information about a penny stock should begin by investigating management, brokers and…

SEC Extends DTC Proposal Period By: Brenda Hamilton

Securities Lawyer 101 Blog On December 5, 2013, The Depository Trust Company (“DTC”) submitted DTC proposals to change SR-DTC-2013-11 (“Proposed Rules”) pursuant…

New OTCQB Requirements, Listing & Quotation – OTCQB Lawyer

Hamilton & Associates Law Group – Client Update The OTC Markets Group recently established new eligibility standards for the securities companies to…

Form S-1 Going Public Bootcamp – Going Public Lawyers

The process of “going public” with a SEC registration statement is complex and at times precarious. While going public offers many benefits it also comes…

Going Public Lawyer Insights About DPOI’s & IPO’s

A private company going public is subject to three federal securities laws, each with its own unique requirements. The three laws are…

SEC Periodic Reports – Going Public Attorneys

Issuers become subject to the SEC’s periodic reporting requirements a number of ways including by filing a registration under the Securities Act…

DPO-IPO Registration Statement Attorneys

Many private companies particularly small businesses are unable to locate an underwriter prior to filing a registration statement to go public. Registration…

SEC Issues Trading Suspensions To Prevent Corporate Hijackings

On June 11, 2014, the U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of LifeHealthCare, Inc. (LFHE), Smartlinx, Inc.…

SEC Initiates Proceedings Against Six Issuers to Prevent Corporate Hijackings

This week the Securities and Exchange Commission (“Commission”) announced it deemed it necessary and appropriate for the protection of investors that public administrative…

SEC Reinstates Richard Hylland, CPA to Practice Before the Commission

Securities Lawyer 101 Blog On June 11, 2014, the Securities and Exchange Commission (the “SEC”) announced that it had reinstated Richard Hylland,…

Explore 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.

FINRA

https://www.finra.org/

JOBS Act 101

https://www.jobsact101.com/

Go Public 101

https://www.gopublic101.com/

OTC Markets

https://www.otcmarkets.com/

Securities Lawyer 101 Blog

https://ppe.securitieslawyer101.com/blog/

Securities & Exchange Commission

https://www.sec.gov/