OTCQX PAL Guides Foreign Companies in Dual Listing

By: Michael T. Williams, Securities Lawyer This is the second step in our Roadmap to OTCQX International qualified Dual Listings. In our last post we described the markets upon which your company or your client company must trade to enter into this...
http://www.goingpublicattorneys.com/2015/otcqx-pal-guides-foreign-companies-dual-listing/

Roadmap to OTCQX International Listing: SEC Rule 12g3-2(b)

By Michael T. Williams, Securities Attorney This is the third step in our Roadmap to OTCQX International qualified Dual Listings. In our first post we described the markets upon which your company or your client company must trade to ...
http://www.goingpublicattorneys.com/2015/roadmap-otcqx-international-listing-sec-rule-12g3-2b/

What is Equity Crowdfunding?

On October 23, 2013, the Securities and Exchange Commission (the "SEC") proposed Regulation Crowdfunding, setting forth the rules governing the offer and sale of securities through crowdfunded offerings, pursuant to Title III of the Jumpstart Our B...
http://www.goingpublicattorneys.com/2014/crowdfunding-101/

Considerations For Foreign Companies Going Public

The U.S. markets are a preferred venue for foreign companies seeking to raise capital and/or create liquidity for shareholders by going public. There are unique requirements under U.S. securities laws for foreign issuers seeking to go public in o...
https://www.securitieslawyer101.com/2015/considerations-foreign-companies-going-public/

DTC Eligibility Q & A – Creating Liquidity with Electronic Trading

Going Public LawyerPosted By Brenda Hamilton, Securities Lawyer The Depository Trust and Clearing Corporation (“DTCC”), through its subsidiaries, provides clearing, settlement and information services for securities. DTCC’s subsidiary, the Depository Trust Company (“DTC”) was created to improve efficiencies and reduce risk in the clearance and settlement of securities transactions. Not all securities are eligible to be settled through DTC.  DTC Eligibility has... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/dtc-eligibility-going-public-lawyers/

How Does A Foreign Company Register Shares When Going Public?

A foreign issuer seeking to go public has several registration statement forms available for its going public transactions. Regardless of the registration statement form selected, all registration statements and other material filed with the Securiti...
https://www.securitieslawyer101.com/2015/foreign-issuer-register-shares/

Exchange Act Registration & Going Public For Foreign Issuers

Foreign companies going public the United States must file a registration statement covering a class of securities pursuant to the Securities Exchange Act of 1934, as amended (the “Exchange Act”) if the class of securities will be listed on a ...
https://www.securitieslawyer101.com/2015/exchange-act-registration-going-public-foreign-issuers/

DTC Eligibility Q & A - Creating Liquidity with Electronic Trading

Posted By Brenda Hamilton, Securities Lawyer The Depository Trust and Clearing Corporation (“DTCC”), through its subsidiaries, provides clearing, settlement and information services for securities. DTCC’s subsidiary, the Depository Trust Com...
https://www.securitieslawyer101.com/2015/dtc-eligibility-going-public-lawyers/

DTC Eligibility Q & A - Creating Liquidity with Electronic Trading

Posted By Brenda Hamilton, Securities Lawyer The Depository Trust and Clearing Corporation (“DTCC”), through its subsidiaries, provides clearing, settlement and information services for securities. DTCC’s subsidiary, the Depository Trust Com...
https://www.securitieslawyer101.com/2015/dtc-eligibility-going-public-lawyers/

DTC Eligibility Q & A - Creating Liquidity with Electronic Trading

Posted By Brenda Hamilton, Securities Lawyer The Depository Trust and Clearing Corporation (“DTCC”), through its subsidiaries, provides clearing, settlement and information services for securities. DTCC’s subsidiary, the Depository Trust Com...
https://www.securitieslawyer101.com/2015/dtc-eligibility-q-creating-liquidity-electronic-trading/

DTC Eligibility Q & A - Creating Liquidity with Electronic Trading

Posted By Brenda Hamilton, Securities Lawyer The Depository Trust and Clearing Corporation (“DTCC”), through its subsidiaries, provides clearing, settlement and information services for securities. DTCC’s subsidiary, the Depository Trust Com...
https://www.securitieslawyer101.com/2015/dtc-eligibility-q-creating-liquidity-electronic-trading/

Considerations For Foreign Issuers Going Public

The U.S. markets are a preferred venue for a foreign company seeking to raise capital and create an exit strategy for its shareholders by going public. There are unique requirements under U.S. securities laws for foreign issuers seeking to go public ...
http://www.goingpublicattorneys.com/2015/considerations-foreign-issuers-going-public/

Going Public Lawyer Pointers

Going Public 101 Blog A Going Public Lawyer is an important part of the overall going public process.   A Going Public Lawyer in the beginning of the process assists the issuer in structuring its transaction the most time and cost effective way t...
http://www.goingpublicattorneys.com/2014/going-public-lawyer-insights/

Exchange Act Registration & Going Public For Foreign Issuers

Going Public LawyerForeign companies going public the United States must file a registration statement covering a class of securities pursuant to the Securities Exchange Act of 1934, as amended (the “Exchange Act”) if the class of securities will be listed on a United states national securities exchange such as Nasdaq. A foreign private issuer must register a class of equity securities under the... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/exchange-act-registration-going-public-foreign-issuers/

Periodic Reporting for Foreign Issuers – Going Public Lawyers

Going Public LawyerA foreign private issuer seeking to go public  in the U.S. can file a registration statement covering a public offering of securities under the Securities Act of 1933, as amended (the “Securities Act”), register a class of equity securities under the Securities Exchange Act or it may do both.  A Foreign issuer can conduct direct public offerings or an initial public... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/periodic-reporting-foreign-issuers-going-public-lawyers/

How Does A Foreign Company Register Shares When Going Public?

Going Public LawyerA foreign issuer seeking to go public has several registration statement forms available for its going public transactions. Regardless of the registration statement form selected, all registration statements and other material filed with the Securities and Exchange Commission (“SEC”) must be submitted in electronic format on the SEC’s Electronic Data Gathering and Retrieval (“EDGAR”) system. All registration statements including those... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/foreign-issuer-register-shares/

When Does a Foreign Company Have To File a Registration Statement?

Going Public LawyerUnder the federal securities laws, a foreign company that meets the definition of the Securities and Exchange Commission (the “SEC”) of a foreign private issuer must register an offering of its securities under the Securities Act of 1933, as amended (the “Securities act”) or a class of securities under the Securities Exchange Act of 1934 (the “Exchange Act”) or both,... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/foreign-company-file-registration-statement/

Periodic Reporting for Foreign Issuers - Going Public Lawyers

A foreign private issuer can file a registration statement covering a public offering of securities under the Securities Act of 1933, as amended (the “Securities Act”), register a class of equity securities under the Securities Exchange Act or it...
https://www.securitieslawyer101.com/2015/periodic-reporting-foreign-issuers-going-public-lawyers/

Foreign Private Issuer Reporting Obligations – Going Public Lawyers

Going Public LawyerForeign issuers seeking to go public and access the U.S. capital markets must comply with the requirements of the Securities Act of 1933 (the “Securities Act”) and the Securities Exchange Act of 1934 (the “Exchange Act”). The Securities Act requires foreign issuers that offer and sell securities in the United States to file a registration statement with the SEC. The... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/foreign-private-issuer-reporting-obligations-going-public-lawyers/

Foreign Private Issuer Reporting Obligations - Going Public Lawyers

Foreign issuers seeking to go public and access the U.S. capital markets must comply with the requirements of the Securities Act of 1933 (the “Securities Act”) and the Securities Exchange Act of 1934 (the “Exchange Act”). The Securities Act...
https://www.securitieslawyer101.com/2015/foreign-private-issuer-reporting-obligations-going-public-lawyers/

Considerations For Foreign Companies Going Public

The U.S. markets are a preferred venue for foreign companies seeking to raise capital and/or create liquidity for shareholders by going public. There are unique requirements under U.S. securities laws for foreign issuers seeking to go public in o...
https://www.securitieslawyer101.com/2015/considerations-foreign-companies-going-public/

Ross Mandell, Six Years Later – Part 2

Going Public LawyerPosted by Brenda Hamilton, Securities Lawyer A few weeks ago, we wrote about U.S. v Ross Mandell, a complicated case involving securities fraud, conspiracy to commit securities fraud, wire fraud, and mail fraud.  The action was tried in federal court in the Southern District of New York.  It ended in May 2012, when final judgments of conviction were entered against... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/26701/

Ross Mandell, Six Years After – Part 2

Going Public LawyerPosted by Brenda Hamilton, Securities Lawyer A few weeks ago, we wrote about U.S. v Ross Mandell, a complicated case involving securities fraud, conspiracy to commit securities fraud, wire fraud, and mail fraud.  The action was tried in federal court in the Southern District of New York.  It ended in May 2012, when final judgments of conviction were entered against... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/26701/

Ross Mandell, Six Years Later - Part 2

Posted by Brenda Hamilton, Securities Lawyer A few weeks ago, we wrote about U.S. v Ross Mandell, a complicated case involving securities fraud, conspiracy to commit securities fraud, wire fraud, and mail fraud.  The action was tried in federal...
https://www.securitieslawyer101.com/2015/26701/

Corporate Law 101 - By: Brenda Hamilton Securities Attorney

Because only issuers can go public and have their securities publicly traded, it is necessary for many unincorporated businesses to set up corporate entities before beginning their going public transactions.  Companies going public should have a ba...
https://www.securitieslawyer101.com/2015/corporate-law-101-brenda-hamilton-securities-attorney/

Corporate Law 101 - By: Brenda Hamilton Securities Attorney

Because only issuers can go public and have their securities publicly traded, it is necessary for many unincorporated businesses to set up corporate entities before beginning their going public transactions.  Companies going public should have a ba...
https://www.securitieslawyer101.com/2015/corporate-law-101-brenda-hamilton-securities-attorney/

Can I Sell Shares Under Section 4(1) ? Going Public Lawyers

Posted by Brenda Hamilton, Securities and Going Public Lawyer Rule 144 (“SEC Rule 144”) under the Securities Act of 1933 (“Securities Act”) provides a safe harbor from the registration provisions of the Securities Act for resales of rest...
https://www.securitieslawyer101.com/2015/26680/

What’s Wrong With A Form 10 Shell?

Going Public LawyerPosted by Brenda Hamilton, Securities and Going Public Lawyer Many issuers seeking to raise capital often attempt to go public using a reverse merger with a public shell. Blank Check Companies which file Form 10 Registration Statement (“Form 10 Shell”) are being marketed as a method for private companies to obtain public company status. Often Form 10 Shells are not a... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/whats-wrong-form-10-shell/

Michigan Embraces Crowdfunding

Posted by Brenda Hamilton, Securities and Going Public Lawyer Michigan recently made a move to assist Michigan small businesses with their investment crowdfunding endeavors.  Michigan became the first state to establish an intrastate market where...
https://www.securitieslawyer101.com/2015/beat-goes-michigan-embraces-crowdfunding/

The Going Public Lawyer's Dictionary

The Going Public Lawyer's Dictionary was created to assist companies to become familiar with certain terms they will encounter during their going public transaction.  It is crucial that you understand and can speak the going public lingo! 52 ...
https://www.securitieslawyer101.com/2015/going-public-lawyers-dictionary/

And the Beat Goes On – Michigan Embraces Crowdfunding

Going Public LawyerPosted by Brenda Hamilton, Securities and Going Public Lawyer Michigan recently made a move to assist Michigan small businesses with their investment crowdfunding endeavors.  Michigan became the first state to establish an intrastate market where broker-dealers can sell securities of Michigan-based companies using crowdfunding.  The signing of House Bill 5273 by Michigan’s preexisting intrastate exemption from securities registration known as... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/beat-goes-michigan-embraces-crowdfunding/

Broker Dealer Registration 101

Broker-dealers are subject to regulation by the SEC, FINRA and any other Self Regulatory Organizations (“SRO”) such as stock exchanges, as well as the states in which they do business.  The Securities Exchange Act of 1934 (the “Exchange Ac...
https://www.securitieslawyer101.com/2015/broker-dealer-registration-101/

Confidential Registration Statements Q & A – Going Public Lawyers

Going Public LawyerPosted By Brenda Hamilton, Securities Lawyer The Jumpstart Our Business Startups Act (the “JOBS Act”) allows an “emerging growth company” to submit a draft of its registration statement and exhibits to the Securities and Exchange Commission (the “SEC”) on a confidential basis.  This Q & A addresses the common questions we receive about confidential registration statement submissions. Q. When does... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/confidential-draft-registration-statements/

Confidential Submission of Draft SEC Registration Statements Q & A

Posted By Brenda Hamilton, Securities Lawyer The Jumpstart Our Business Startups Act (the “JOBS Act”) allows an “emerging growth company” to submit a draft of its registration statement and exhibits to the Securities and Exchange Commissio...
https://www.securitieslawyer101.com/2015/confidential-submission-draft-sec-registration-statements-q/

Confidential Submission of Draft SEC Registration Statements Q & A

Posted By Brenda Hamilton, Securities Lawyer The Jumpstart Our Business Startups Act (the “JOBS Act”) allows an “emerging growth company” to submit a draft of its registration statement and exhibits to the Securities and Exchange Commissio...
https://www.securitieslawyer101.com/2015/confidential-submission-draft-sec-registration-statements-q/

Confidential Submission of Draft SEC Registration Statements Q & A

Posted By Brenda Hamilton, Securities Lawyer The Jumpstart Our Business Startups Act (the “JOBS Act”) allows an “emerging growth company” to submit a draft of its registration statement and exhibits to the Securities and Exchange Commissio...
https://www.securitieslawyer101.com/2015/confidential-submission-draft-sec-registration-statements-q/

Confidential Submission of Draft SEC Registration Statements Q & A

The Jumpstart Our Business Startups Act (the “JOBS Act”) allows an “emerging growth company” to submit a draft of its registration statement and exhibits to the Securities and Exchange Commission (the “SEC”) on a confidential basis.  T...
https://www.securitieslawyer101.com/2015/confidential-submission-draft-sec-registration-statements-q/

Retweets, Social Media & Being Public – Going Public Lawyers

Going Public LawyerPosted by Brenda Hamilton Securities Lawyer It has become almost routine for public companies to use social media to interact with their shareholders, and customers. The Securities and Exchange Commission (the “SEC”) has provided guidance in compliance and disclosure interpretations addressing the use of Twitter, Facebook, and other forms of social media. It is important than public companies and companies... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/retweets-social-media-public-going-public-lawyers/

Retweets, Social Media & Being Public - Going Public Lawyers

[caption id="attachment_19753" align="aligncenter" width="1000"] Social Media is OK - Securities Lawyer 101[/caption] Posted by Brenda Hamilton Securities Lawyer It has become almost routine for public companies to use social media to interact wi...
https://www.securitieslawyer101.com/2015/retweets-social-media-public-going-public-lawyers/

Short Swing Profits Q & A By: Brenda Hamilton Securities Lawyer

The "Short Swing Profit" rules were created to prevent insiders, who have greater access to material company information, from taking advantage of information for the purpose of making short-term profits from trading an issuer's securities.  Thi...
https://www.securitieslawyer101.com/2015/short-swing-profits-brenda-hamilton-lawyer/

Going Public Strategies – By The Going Public Attorneys

Posted by Brenda Hamilton, Securities & Going Public Attorney Going Public can involve a variety of structures depending upon each company’s specific needs.  Companies seeking to Go Public can involve an Initial Public Offering (IPO), ...
https://www.securitieslawyer101.com/2015/going-public-strategies-going-public-attorneys/

The Going Public Attorney & Due Diligence - Going Public Attorneys

The securities laws require companies to disclose a myriad of facts during the going public process.  These expansive disclosure requirements apply to private companies going public.  During the going public process, companies must generally p...
https://www.securitieslawyer101.com/2014/going-public-lawyer-review/

The Going Public Attorney & Due Diligence - Going Public Attorneys

The securities laws require companies to disclose a myriad of facts during the going public process.  These expansive disclosure requirements apply to private companies going public.  During the going public process, companies must generally p...
https://www.securitieslawyer101.com/2014/going-public-lawyer-review/

House Considers M&A Brokers – By: Brenda Hamilton Securities Lawyer

Going Public LawyerPosted by Brenda Hamilton, Securities Lawyer On February 3, 2015, HR 686, The Small Business Mergers, Acquisitions, Sales & Brokerage Simplification Act, was introduced in the U.S. House of Representatives. HR686 mirrors HR2274. which was passed unanimously in the U.S. House of Representatives last year, although it was never acted upon in the U.S. Senate.  HR 686 exempts “Merger and Acquisition... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/house-considers-ma-brokers-brenda-hamilton-securities-lawyer/

House Considers M&A Brokers - By: Brenda Hamilton Securities Lawyer

Posted by Brenda Hamilton, Securities Lawyer On February 3, 2015, HR 686, The Small Business Mergers, Acquisitions, Sales & Brokerage Simplification Act, was introduced in the U.S. House of Representatives. HR686 mirrors HR2274. which was pas...
https://www.securitieslawyer101.com/2015/house-considers-ma-brokers-brenda-hamilton-securities-lawyer/

Accredited Crowdfunding Q & A - Going Public Lawyers

Posted By Brenda Hamilton, Securities Lawyer Private placement offerings under Rule 506 of Regulation D of the Securities Act of 1933, as amended (the “Securities Act”) are a cost effective and relatively quick way for private companies to rai...
https://www.securitieslawyer101.com/2015/accredited-crowdfunding-going-public-lawyers/

How Does A Foreign Issuer Go Public? Going Public Attorneys

Foreign issuers seeking to go public have several options for their transactions.  Foreign issuers seeking to go public in the U.S. may complete an initial public offering or direct public offering by registering an offering of securities with...
http://www.gopublic101.com/foreign-issuer-go-public-going-public-attorneys/

OTCQX Listing, Eligibility & Quotation

OTC Markets Group organizes securities into the OTCQX®, OTCQB® and OTC Pink® categories based on the level of disclosure provided and the listing fees paid by the issuer.  OTCQX Quotation of a company is considered to be the highest tier offer...
http://www.gopublic101.com/otcqx-listing-eligibility-quotation/

Roadmap For a Successful Direct Public Offering

  Preparing for a direct public offering takes both a commitment of time and money.  Unlike an initial public offering (“IPO”), a direct public offering does not involve an underwriter.  While it often, it takes a year or longer to pl...
http://www.gopublic101.com/roadmap-successful-direct-public-offering/

Accredited Crowdfunding Q & A - Going Public Lawyers

Posted By Brenda Hamilton, Securities Lawyer Private placement offerings under Rule 506 of Regulation D of the Securities Act of 1933, as amended (the “Securities Act”) are a cost effective and relatively quick way for private companies to rai...
https://www.securitieslawyer101.com/2015/accredited-crowdfunding-going-public-lawyers/

Accredited Crowdfunding Q & A

Posted By Brenda Hamilton, Securities Lawyer Private placement offerings under Rule 506 of Regulation D of the Securities Act of 1933, as amended (the “Securities Act”) are a cost effective and relatively quick way for private companies to rai...
https://www.securitieslawyer101.com/2015/accredited-crowdfunding-q/

Direct Public Offering Attorneys

One of the most efficient ways to achieve public company status is by using a Direct Public Offering.  We will assist you with your Direct Public Offering using a registration statement. Direct Public Offerings can be structured a variety of way...
http://www.gopublic101.com/direct-public-offering-attorneys/

Caledonian Securities & Caledonian Bank Seized by Cayman Officials

Posted by Brenda Hamilton, Securities Lawyer Following an action by the Securities and Exchange Commission (the "SEC") last week, and an asset freeze order, the Cayman Islands Monetary Authority has taken control of Caledonian Bank and Caledonia...
https://www.securitieslawyer101.com/2015/caledonian-securities-caledonian-bank-seized-cayman-officials/

Caledonian Securities & Caledonian Bank Seized by Cayman Officials

Going Public LawyerPosted by Brenda Hamilton, Securities Lawyer Following an action by the Securities and Exchange Commission (the SEC ) last week, and an asset freeze order, the Cayman Islands Monetary Authority has taken control of Caledonian Bank and Caledonian Securities.  According to charges by the SEC on February 7, 2014, Caledonian, Clear Water Securities, Legacy Global Markets S.A., and Verdmont Capital S.A. functioned as... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/caledonian-securities-caledonian-bank-seized-cayman-officials/

DTC Eligibility Q & A – Going Public Attorneys

Going Public LawyerQ. What is The Depository Trust Company (“DTC”)? A. DTC is the only stock depository in the United States. Q. How do public companies obtain DTC eligibility? A. Issuers must satisfy specific criteria to receive initial DTC eligibility, and to remain DTC eligible.  Even after those securities become eligible, DTC may limit or terminate its services. Q. Why is DTC... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/dtc-eligibility-going-public-attorneys/

The Going Public Lawyer's Due Diligence Review

The securities laws require companies to disclose a myriad of facts during the going public process.  These expansive disclosure requirements apply to private companies going public.  During the going public process, companies must generally p...
http://www.gopublic101.com/going-public-lawyers-due-diligence-review/

Does FINRA Approve Going Public Transactions? Going Public Attorneys

By The Going Public Attorneys - The Financial Institution Regulatory Authority (FINRA) plays an important role in going public transactions.  While filing a registration statement on Form S-1 can make a company reporting with the Securities and Ex...
http://www.gopublic101.com/finra-approve-going-public-transactions-going-public-attorneys/

What Is Periodic Reporting? Going Public Lawyers

Once the staff of the Securities and Exchange Commission ("SEC") declares a company's registration statement on Form S-1 effective under the Securities Act of 1933, as amended (the “1933 Act”), the registration statement is in force and the co...
http://www.gopublic101.com/periodic-reporting-going-public-lawyers/

What Is Periodic Reporting? Going Public Lawyers

Once the staff of the Securities and Exchange Commission ("SEC") declares a company's registration statement on Form S-1 effective under the Securities Act of 1933, as amended (the “1933 Act”), the registration statement is in force and the co...
http://www.gopublic101.com/periodic-reporting-going-public-lawyers/

What are the OTCQB Listing, Eligibility & Quotation Requirements?

Going Public LawyerOTC Markets Group (“OTC Markets”) requires companies seeking quotation of their securities on the OTCQB® Venture Stage Marketplace (“OTCQB”) have an initial and ongoing $0.01 per share minimum bid price, submit an initial OTCQB application, pay annual fees, and submit annual certifications to the OTC Markets.  Companies that do not meet all of these requirements are demoted to the OTC... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/otcqb-listing-eligibility-quotation/

DTC Eligibility Q & A - Going Public Attorneys

Q. What is The Depository Trust Company (“DTC”)? A. DTC is the only stock depository in the United States. Q. How do public companies obtain DTC eligibility? A. Issuers must satisfy specific criteria to receive initial DTC eligibility, and ...
http://www.securitieslawyer101.com/2015/dtc-eligibility-going-public-attorneys/

DTC Eligibility Q & A - Going Public Attorneys

Q. What is The Depository Trust Company (“DTC”)? A. DTC is the only stock depository in the United States. Q. How do public companies obtain DTC eligibility? A. Issuers must satisfy specific criteria to receive initial DTC eligibility, and ...
http://www.securitieslawyer101.com/2015/dtc-eligibility-going-public-attorneys/

Does FINRA Approve Going Public Transactions? Going Public Attorneys

Going Public LawyerBy The Going Public Attorneys The Financial Institution Regulatory Authority (FINRA) plays an important role in going public transactions.  While filing a registration statement on Form S-1 can make a company reporting with the Securities and Exchange Commission, it will not cause the company’s stock to trade and it will not result in a ticker symbol.  Only FINRA can... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/finra-impact-going-public-transaction-going-public-attorneys/

Does FINRA Approve Going Public Transactions? Going Public Attorneys

By The Going Public Attorneys - The Financial Institution Regulatory Authority (FINRA) plays an important role in going public transactions.  While filing a registration statement on Form S-1 can make a company reporting with the Securities and Ex...
http://www.securitieslawyer101.com/2015/finra-impact-going-public-transaction-going-public-attorneys/

How Does FINRA Impact My Going Public Transaction? Going Public Attorneys

The Financial Institution Regulatory Authority ("FINRA") plays an important role in going public transactions.  While filing a registration statement on Form S-1 can make a company reporting with the Securities and Exchange Commission, it will not...
http://www.securitieslawyer101.com/2015/finra-impact-going-public-transaction-going-public-attorneys/

Can I Issue Free Trading Shares Under Rule 504? Going Public Lawyers

Despite numerous SEC enforcement actions, Rule 504 of Regulation D of the Securities Act remains a commonly misused exemption particularly in dilution schemes. The popularity of Rule 504 is simple - the Rule 504 exemption provides a way for dilutio...
https://www.securitieslawyer101.com/2015/can-i-issue-free-trading-shares-under-rule-504/

Cry Me A River - DTC Chills & Global Locks

Securities Lawyer 101 Blog The Depository Trust and Clearing Corporation (“DTCC”), through its subsidiaries, provides clearing, settlement and information services for securities.  DTCC’s subsidiary, the Depository Trust Company (“DTC
https://www.securitieslawyer101.com/2015/cry-river-dtc-chills-global-locks/

Medbox & The License to Swindle

Down the Rabbit Hole We Go We were recently asked to review a penny stock company called Medbox Inc. (MDBX).  The Medbox story has been of considerable interest over the past two years, for the most part because of its colorful founder, P. Vincen...
https://www.securitieslawyer101.com/2015/medbox-license-swindle/

When Is a Form S-1? Going Public Lawyers

Securities Lawyer 101 Blog The Jumpstart Our Business Startups Act (the “JOBS Act”) allows an “emerging growth company” to submit a draft of its registration statement and exhibits to the Securities and Exchange Commission (the “SEC
https://www.securitieslawyer101.com/2015/draft-form-s-1-registration-statements/

When Is a S-1 Registration Statement Confidential?

Securities Lawyer 101 Blog The Jumpstart Our Business Startups Act (the “JOBS Act”) allows an “emerging growth company” to submit a draft of its registration statement and exhibits to the Securities and Exchange Commission (the “SEC
https://www.securitieslawyer101.com/2015/draft-form-s-1-registration-statements/

Can I Afford To Go Public on the OTCQB? – Going Public Lawyer

Going public requirements vary for companies seeking to go public on the OTC Markets OTC Pink and OTCQB marketplace.  The biggest difference is that most of the time (but not always) companies who go public on the OTCQB provide more transparency t...
https://www.securitieslawyer101.com/2015/can-afford-go-public-otcqb-going-public-lawyer/

Can I Afford To Go Public on the OTCQB? – Going Public Lawyer

Going Public LawyerGoing public requirements vary for companies seeking to go public on the OTC Markets OTC Pink and OTCQB marketplace.  The biggest difference is that most of the time (but not always) companies who go public on the OTCQB provide more transparency to investors than OTC Pink Sheet companies because they file reports with the Securities and Exchange Commission (the “SEC”).... Read MoreGoing Public Lawyer
https://www.securitieslawyer101.com/2015/can-afford-go-public-otcqb-going-public-lawyer/

Can I Afford To Go Public on the OTCQB? – Going Public Lawyer

Going public requirements vary for companies seeking to go public on the OTC Markets OTC Pink and OTCQB marketplace.  The biggest difference is that most of the time (but not always) companies who go public on the OTCQB provide more transparency t...
http://www.securitieslawyer101.com/2015/can-afford-go-public-otcqb-going-public-lawyer/

Can a Draft Form S-1 Registration Statement Be Confidential?

Securities Lawyer 101 Blog The Jumpstart Our Business Startups Act (the “JOBS Act”) allows an “emerging growth company” to submit a draft of its registration statement and exhibits to the Securities and Exchange Commission (the “SEC
http://www.securitieslawyer101.com/2015/draft-registration-statements/

What Is Periodic Reporting? Going Public Lawyers

Once the staff of the Securities and Exchange Commission ("SEC") declares a company's registration statement on Form S-1 effective under the Securities Act of 1933, as amended (the “1933 Act”), the registration statement is in force and the co...
http://www.securitieslawyer101.com/2015/sec-periodic-reporting-obligations/

What Is Periodic Reporting? Going Public Lawyers

Once the staff of the Securities and Exchange Commission ("SEC") declares a company's registration statement on Form S-1 effective under the Securities Act of 1933, as amended (the “1933 Act”), the registration statement is in force and the co...
http://www.securitieslawyer101.com/2014/sec-periodic-reporting-obligations/

DTC Eligibility Q & A - Going Public Attorneys

Q. What is The Depository Trust Company (“DTC”)? A. DTC is the only stock depository in the United States. Q. How do public companies obtain DTC eligibility? A. Issuers must satisfy specific criteria to receive initial DTC eligibili...
http://www.securitieslawyer101.com/2015/dtc-eligibility-going-public-attorneys/

DTC Eligibility Q & A - Going Public Attorneys

Q. What is The Depository Trust Company (“DTC”)? A. DTC is the only stock depository in the United States. Q. How do public companies obtain DTC eligibility? A. Issuers must satisfy specific criteria to receive initial DTC eligibili...
http://www.securitieslawyer101.com/2015/dtc-eligibility-going-public-attorneys/

SEC Charges Oppenheimer For Penny Stock Sales

Last week, the Securities and Exchange Commission ("SEC") announced charges against Oppenheimer & Co. for violations of federal securities laws for improperly selling penny stocks in unregistered offerings on behalf of customers. Oppenheime...
http://www.securitieslawyer101.com/2015/sec-charges-oppenheimer-penny-stock-sales/

Can I Afford To Go Public on the OTCQB? – Going Public Lawyer

Going public requirements vary for companies seeking to be quoted on the OTC Markets OTC Pink and the OTCQB marketplace.  The biggest difference is that most of the time (but not always) OTCQB companies provide more transparency to investors than ...
http://www.securitieslawyer101.com/2015/can-afford-go-public-otcqb-going-public-lawyer/

SEC Suspends Modern PVC (MPVC) – Securities Lawyer 101

On February 6, 2015, the U.S. Securities and Exchange Commission (the “SEC”) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the “Exchange Act”), of trading of the securities of Med Pro ...
http://www.securitieslawyer101.com/2015/sec-suspends-modern-pvc-mpvc-securities-lawyer-101/

SEC Charges Oppenheimer For Penny Stock Sales

Last week, the Securities and Exchange Commission ("SEC") announced charges against Oppenheimer & Co. for violations of federal securities laws for improperly selling penny stocks in unregistered offerings on behalf of customers. Oppenheime...
http://www.securitieslawyer101.com/2015/sec-charges-oppenheimer-penny-stock-sales/

SEC Charges Oppenheimer For Penny Stock Sales

Last week, the Securities and Exchange Commission ("SEC") announced charges against Oppenheimer & Co. for violations of federal securities laws for improperly selling penny stocks in unregistered offerings on behalf of customers. Oppenheime...
http://www.securitieslawyer101.com/2015/sec-charges-oppenheimer-penny-stock-sales/

SEC Charges Three in Penny Stock Scam

Last week, the Securities and Exchange Commission (the "SEC") charged International Capital Group (“ICG”) and certain of its founders and executives in connection with the sale of more than nine billion shares of penny stocks issued through ...
http://www.securitieslawyer101.com/2015/sec-charges-three-penny-stock-scam/

SEC Issues Investor Alert on Cybersecurity

On February 3, 2015, the Securities and Exchange Commission (the "SEC") addressed cybersecurity at brokerage and advisory firms and provide suggestions to investors on ways to protect their online investment accounts. “Cybersecurity threats know...
http://www.securitieslawyer101.com/2015/sec-issues-investor-alert-cybersecurity/

Medbox & The License to Swindle

Down the Rabbit Hole We Go We were recently asked to review a penny stock company called Medbox Inc. (MDBX).  The Medbox story has been of considerable interest over the past two years, for the most part because of its colorful founder, P. Vincen...
http://www.securitieslawyer101.com/2015/medbox-license-swindle/

Medbox & The License to Swindle

Down the Rabbit Hole We Go We were recently asked to review a penny stock company called Medbox Inc. (MDBX).  The Medbox story has been of considerable interest over the past two years, for the most part because of its colorful founder, P. Vincen...
http://www.securitieslawyer101.com/2015/medbox-license-swindle/

Medbox & The License to Swindle

Down the Rabbit Hole We Go We were recently asked to review a penny stock company called Medbox Inc. (MDBX).  The Medbox story has been of considerable interest over the past two years, for the most part because of its colorful founder, P. Vincen...
http://www.securitieslawyer101.com/2015/medbox-license-swindle/

Roadmap For a Successful Direct Public Offering

Preparing for a direct public offering takes both a commitment of time and money.  Unlike an initial public offering (“IPO”), a direct public offering does not involve an underwriter.  While it often, it takes a year or longer to plan for and...
http://www.securitieslawyer101.com/2015/roadmap-successful-direct-public-offering/