Rule 144′s Current Public Information Requirement

Going Public LawyerSecurities Lawyer 101 Blog Rule 144 of the Securities Act provides a safe harbor from the registration requirements of the Securities Act of 1933, as amended (the “Securities Act”) for resales of restricted and control securities if specified conditions are met.  One of the requirements of Rule 144 is that the issuer have current public information available to the public... Read MoreGoing Public Lawyer
http://www.securitieslawyer101.com/2014/rule-144s-current-public-information-requirement/

Private Placement Memorandums 101

Going Public LawyerA private placement memorandum (“PPM”) is also referred to as a confidential offering circular or memorandum. PPM’s are used by private companies  in going public transactions and by existing public companies to raise capital by selling either debt or equity in an exempt offering such as Rule 506 of Regulation D.  PPM disclosures vary depending on a couple of factors including... Read MoreGoing Public Lawyer
http://www.securitieslawyer101.com/2014/private-placement-memorandum/

What Disclosure Is Really Required For Investor Relations Firms?

We are often contacted by investors, stock promoters and investor relations firms after the SEC or DOJ brings an action against stock promoters.  We are asked a myriad of questions about the disclosures that must be provided in promotional websites,...
http://www.securitieslawyer101.com/2014/disclosure-stock-promoters/

Investor Relations Firm Employee Indicted – Posted by Brenda Hamilton Securities Lawyer

Going Public LawyerSecurities Law Blog On August 26, 2014, the U.S. Attorney’s Office for the Southern District of New York announced charges against Michael Anthony Dupre Lucarelli. Lucarelli is charged with 13 counts of criminal insider trading over his alleged scheme to trade on announcements in impending news releases in the days before they were made public.   According to the allegations, Lucarelli... Read MoreGoing Public Lawyer
http://www.securitieslawyer101.com/2014/investor-relations-provider-indicted/

FINRA Proposes Pilot Program to Widen Tick Sizes

On August 27, 2014, the Securities and Exchange Commission (the "SEC") announced that the national securities exchanges and the Financial Industry Regulatory Authority ("FINRA") filed a proposal to establish a national market system plan to implement...
http://www.securitieslawyer101.com/2014/finra-proposes-pilot-program-widen-tick-sizes/

Investor Relations Firm Employee Indicted - Posted by Brenda Hamilton Securities Lawyer

Securities Law Blog On August 26, 2014, the U.S. Attorney’s Office for the Southern District of New York announced charges against Michael Anthony Dupre Lucarelli. Lucarelli is charged with 13 counts of criminal insider trading over his alleged s...
http://www.securitieslawyer101.com/2014/investor-relations-provider-indicted/

FINRA Issues Viral Disease Stock Scam Alert

Going Public LawyerSecurities Lawyer 101 Blog Keep your portfolio quarantined from potential viral disease investment scams. If history is a guide, dramatic news coverage of viral outbreaks, including Ebola and Middle East Respiratory Syndrome (MERS), will likely catch the interest of stock scammers looking to capitalize on fears of a potential pandemic. Don t fall for the hype. FINRA is issuing this Alert... Read MoreGoing Public Lawyer
http://www.securitieslawyer101.com/2014/finra-issues-viral-disease-stock-scam-alert/