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…
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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.
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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…
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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,…
Read MoreSEC 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…
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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…
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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 …
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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…
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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…
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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…
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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…
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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…
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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…
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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…
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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…
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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…
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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…
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FINRA Issues Crowdfunding Portal Proposals l Securities Lawyer 101
Securities Lawyer 101 Blog On October 25, 2013, FINRA announced the release a set of proposed crowdfunding portal rules and forms for…
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Due Diligence in the Going Public Process l Going Public Attorneys
Securities Lawyer 101 Blog Private companies in going public transactions seeking to have their securities quoted on the OTC Markets OTCQB must…
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What Is the Registration Statement Quiet Period ?
Securities Lawyer 101 Blog Companies going public by filing a registration statement on Form S-1 under the Securities Act of 1933, as…
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Going Public For Foreign Private Issuers
Securities Lawyer 101 Blog The securities laws provide numerous benefits to issuers who qualify as foreign private issuers. Among those benefits are…
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SEC Issues Proposals On Crowdfunding
Securities Lawyer 101 Blog On October 23, 2013, the Securities and Exchange Commission (“SEC”) voted unanimously to propose rules under the JOBS…
Read MoreMan Arrested In Leonard McCoy Themed Medical Device Scheme
Securities Lawyer 101 Blog On October 22, 2013, Howard Leventhal was arrested by the FBI for defrauding a Florida company of $800,000…
Read MoreSEC Issues Trading Suspenion of Crown Alliance
Securities Lawyer 101 Blog On October 22, 2013, the Securities and Exchange Commission (“Commission”) announced the temporary suspension, pursuant to Section 12(k)…
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SEC Issues Trading Suspension of ARX Gold
Securities Lawyer 101 Blog On October 22, 2013, the SEC announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange…
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SEC Issues Trading Suspension of the Securities of High End Ventures
Securities Lawyer 101 Blog On October 21, 2013, the Securities and Exchange Commission (the “SEC”) announced the temporary suspension of trading in the…
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SEC Takes Action Against Potential Short Sellers For Manipulation
Securities Lawyer 101 Blog On September 16, 2013, the Securities and Exchange Commission (the “SEC”) brought enforcement actions against more than 20…
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SEC Chairman Mary Jo White Addresses SEC Disclosure Requirements
Securities Lawyer 101 Blog On October 15, 2013, Mary Jo White, new chairman of the Securities and Exchange Commission (“SEC”), delivered a…
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SEC Charges China Based Chicken Provider
Securities Lawyer 101 Blog On October 18, 2013, the Securities and Exchange Commission (the “SEC”) charged Yuhe International, Inc. (“Yuhe”), a China-based…
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NASAA Releases 2013 Top Ten Financial Frauds List
Securities Lawyer 101 Blog The North American Securities Administrators Association (“NASAA”) recently released a list of the the 2013 Top Ten financial…
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SEC Shuts Down Pyramid Scheme Targeting Asian-American Community
On October 17, 2013, the Securities and Exchange Commission (the “SEC”) announced charges and asset freezes against the operators and promoters of…
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