Dilution Funders and Dilution Financings Challenged by SEC We recently wrote about two interesting SEC enforcement actions that examine the question of whether the individuals and entities that purchase convertible promissory notes from public companies are “dealers” according… Read More
Category: Firm News Tags: broker-dealer, convertible note lender, convertible promissory note, David Foley, Dealer, Dilution Financing, Dilution Funder, Exchange Act Section 15(a), financing agreement, JDF Capital, JMJ Financial, John Fierro, microcap securities, Microcap Stock, OTC Markets, Penny Stock, Penny Stock Bars, Penny Stock Investor, Penny Stock Issuer, ponzi scheme, regulation, Ronald E. Pipoly Jr, SEC, SEC Action, SEC Administrative Proceeding, SEC Attorney, SEC Claim, SEC Defendant, SEC Defense, SEC Defense Attorney, SEC Defense Lawyer, SEC enforcement, SEC Fraud, SEC Injunction, SEC Law Firm, SEC Lawsuit, SEC Lawyer, SEC Litigation, SEC Penny Stock Bar, SEC Subpoena, Securities Fraud, Securities Law Defense, stock scheme, Toxic Convertible Note, toxic financing, Toxic Financings, Toxic Funder, toxic funding
Foreign Private Issuers that are subject to the reporting requirements of the Securities Exchange Act of 1934, as amended, (the “Exchange Act), must provide periodic reports to the Securities & Exchange Commission. These include an annual report on Form 20-F… Read More
Our readers have spoken – Securities Lawyer 101 written by Brenda Hamilton, a securities and going public lawyer has been selected to compete in The Expert Institute’s Best Legal Blog Competition. From a field of more than 2,000 potential nominees,… Read More
Securities Lawyer 101 Blog BOCA RATON, Fla., March 21, 2014 /PRNewswire/ — Due to the fundamental changes in 2013 that continue to shape the new Securities landscape for capital raising and going public on the OTC Markets OTC Pinks, Hamilton… Read More
Category: Blog Posts, Firm News Tags: Alternative Reporting, Alternative Reporting Requirements, Direct Public Offering, Direct Public Offering Attorney, Direct Public Offering Attorneys, Direct Public Offering Lawyer, Exchange Act, Form 1-A, Form 1-K, Form 1-SA, Form 1-Z, Form 211, Form S-1, Form S-1 Attorney, Form S-1 Lawyer, Form SEC, Go Public Direct, Going Public Attorney, Going Public Attorneys, Going Public Lawyer, Going Public Lawyers, Market Maker, OTC Markets, OTC Markets Alternative Reporting, OTC Markets and Sponsoring Market Maker, OTC Markets Attorney, OTC Markets Group, OTC Markets Lawyer, OTC Markets Link, OTC Markets Market Maker, OTC Markets OTC Pink, OTC Markets OTCAX, OTC Markets OTCQB, OTC Markets OTCQX, OTC Markets Sponsoring Market Maker, OTC Pink, OTCQX, Registered Direct Public Offering, Registration Statement, Regulation A, Regulation A Qualification, Regulation A Reporting, Rule 15c2-11, SEC Effectiveness, SEC Qualification, SEC Reporting, SEC Reporting Obligations, SEC Reporting Requirements, Securities Act
The use of social media is a growing concern with new exemptions that allow issuers to engage in general solicitation and advertising of their unregistered offerings. The Securities and Exchange Commission has made its position on the use of social… Read More
Category: Firm News Tags: 10-K, 10-Q, Annual Report on Form 10-K, Beneficial Owner, current report, Current Report on Form 8-K, Current Reports on Form 8-K, Emerging Growth Company, Exchange Act, Form 10-K, Form 10-K Annual Report, Form 10-K deadline, Form 10-Q, Form 10-Q deadline, Form 3, Form 4, Form 5, Form 8-K, Form 8-K Current Report, Form 8-K deadline, Form 8-K SEC Disclosure and Requirements, Form 8k, Insider Reports, Investment Control, material information, press release, Public Company, Regulation FD, Reporting Company, Schedule 13D, Schedule 13g, SEC, SEC Attorney, SEC Change of Control, SEC compliance, SEC Disclsoures, SEC Emerging Growth, SEC Form 3, SEC Form 4, SEC Form 5, SEC Form 8-K, SEC press release requirements, SEC Registration, SEC Reporting, SEC Reporting Company, SEC reporting issuer, SEC Reporting Requirements, SEC Schedule 13(d), SEC Schedule 13(g), SEC Social Media, Section 16, Section 17(b), Securities Exchange Act, Securities Exchange Act of 1934, Social Media, trigger events, Voting Control, What are SEC Reporting, What are SEC Reporting Requirements
