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

Going Public in 2023

For many private companies, “going public” is about more than just raising capital. It’s a sign of accomplishment. Direct public offering (“DPO”)…

Celebrity Broker Bambi Holzer Barred by FINRA

Securities Lawyer 101 Blog Bambi Holzer, an author and former registered broker to numerous celebrities has been barred by Financial Industry Regulatory…

SEC Seeks Comment On DTC Proposals

Securities Lawyer 101 Blog On December 18, 2013, the SEC published a notice to solicit comments concerning The Depository Trust Company’s (“DTC”)…

SEC Charges Caroline Winsor l Securities Lawyer 101

Securities Lawyer 101 Blog The SEC has charged Caroline Winsor, a Canadian stock promoter, Richard Walchuk, the president and Chief Executive Officer…

SEC Charges Lance Berger l Securities Lawyer 101

Securities Lawyer 101 Blog According to the SEC, in December 2012, Lance Berger, a stock promoter for several penny stock companies, including…

The SEC Suspends The Enlightened Gourmet Inc.

Securities Lawyer 101 Blog On December 10, 2013, the Securities and Exchange Commission (the “SEC”) announced the temporary suspension of trading in the…

The SEC Releases 2013 Enforcement Results

Securities Lawyer 101 Blog On December 17, the Securities and Exchange Commission (“SEC”) announced that its newly-invigorated Enforcement Division had brought actions…

SEC Charges Stock Randy Hamdan and Oracle Consultants

Securities Lawyer 101 Blog On December 10, 2013, the Securities and Exchange Commission (the “SEC”) charged Randy Hamdan and a related entity,…

SEC Charges MALOM Group with Securities Fraud

Securities Lawyer 101 Blog The Securities and Exchange Commission filed securities fraud charges against MALOM Group AG, whose name is an acronym…

SEC Halts Oil And Gas Scheme l Securities Lawyer 101

Securities Lawyer 101 Blog On December 6, 2013, the Securities and Exchange Commission (the “SEC”) announced charges and an emergency asset freeze…

SEC Grants Waiver Of Rule 506 Bad Actor Ban

Securities Lawyer 101 Blog On November 25, 2013, the Securities and Exchange Commission granted a waiver of the ban against bad actors…

SEC Report Reveals Foreigners Among Dodd Frank Whistleblowers

Securities Lawyer 101 Blog The SEC’s 2013 Annual Report to congress on the Dodd-Frank whistleblower Program shows whistleblowers from 55 countries submitted…

SEC Suspends Trading of Nevada Gold Corp

Securities Lawyer 101 Blog On November 27, 2013, the Securities and Exchange Commission (the “SEC”) announced the temporary suspension, pursuant to Section…

Shell Traffickers Guilty in $137 Million Corporate Hijacking Scheme

Lawrence Hartman, a Florida securities lawyer, plead guilty to a charge of conspiracy to commit mail and wire fraud for his role…

SEC Issues Compliance and Disclosure Interpretation of Rule 506(c)

Securities Lawyer 101 Blog On November 13, 2013, the Securities and Exchange Commission (the “SEC”) Division of Corporation Finance issued several useful…

House Committee Passes Law Reducing Business-Broker Regulation

Securities Lawyer 101 Blog On November 14, 2013, the Financial Services Committee of the U.S. House of Representatives voted unanimously to report…

Foreign Issuers Embrace U.S. IPO Markets

Securities Lawyer 101 Blog As the number of U.S. companies launching initial public offerings (“IPOs”) by filing registration statements increased throughout 2013,…

SEC Announces First Deferred Prosecution Agreement

Securities Lawyer 101 Blog On November 12, 2013, the Securities and Exchange Commission (the “SEC”) announced a deferred prosecution agreement with Scott…

The SEC Analyzes Rule 506 l Going Public Attorneys

Securities Lawyer 101 Blog In its recently proposed Regulation Crowdfunding (“Reg CF”), the Securities and Exchange Commission (“SEC”) produced some interesting statistics…

What Are The Financial Statement Requirements of Form S-1?

Securities Lawyer 101 Blog The financial statements requirements of a Form S-1 registration statement depend upon the company’s size and revenues. If …

OTC Pink Sheets 101 – Going Public Attorneys

Securities Lawyer 101 Blog Q. What are the OTC Markets OTC tiers available to OTC Pink Sheet companies? A. Companies on the…

170 Issuers Use Rule 506(c) For Offerings – Going Public

Securities Lawyer 101 Blog On October 30, 2013, Keith Higgins, the newly appointed Director of the Securities and Exchange Commission’s Division of…

SEC Sanctions Auditor Sherb & Co l Securities Lawyer 101

Securities Lawyer 101 Blog On November 6, 2013, the Securities and Exchange Commission (the “SEC”) announced sanctions against a New York-based auditing…

FINRA Halts ALL OTC Equity Securities – Going Public Lawyers

Securities Lawyer 101 Blog On Thursday, November 7, 2013, the Financial Industry Regulatory Authority, Inc. (“FINRA”) halted trading in all OTC Equity…

SEC Suspends 14 Companies To Prevent Corporate Hijackings

Securities Lawyer 101 Blog On October 31, 2013, the Securities and Exchange Commission suspended trading in 14 zombie companies’ shares, due to their…

What Disclosures Are Required in Form 10-K ? SEC Reporting Requirements

Securities Lawyer 101 Blog Form 10-K is a comprehensive annual report filed by SEC reporting companies that details information about the issuer…

NASAA Requests Comment on Regulation A Offerings

Securities Lawyer 101 Blog On October 30, 2013, the Board of Directors of the North American Securities Administrators Association, Inc. (NASAA) released materials…

Securities Lawyers Gone Wild l Brynee K. Baylor

Securities Lawyer 101 Blog On October 30, 2013, the United States District Court for the District of Columbia granted the SEC‘s motion for…

SEC Awards Whistleblower Bounty

Securities Lawyer 101 Blog On October 31, 2013, the Securities and Exchange Commission (the “SEC”) announced an award of more than $150,000 to…

SEC Issues Trading Suspension of PVEN’s Common Shares

Securities Lawyer 101 Blog On October 30, 2013, the SEC announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act…

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/