Using Form S-1 To Go Public l Direct Public Offering Bootcamp

Securities Lawyer 101 Blog Form S-1 is the basic registration statement form used to register securities. Form S-1 can be used to register securities for which no other form is authorized or prescribed, except securities of foreign governments or po...
http://www.securitieslawyer101.com/2014/form-s1-direct-public-offering-bootcamp/

Regulation D of the Securities Act

Under the Securities Act of 1933, any offer to sell securities must either be registered with the SEC or meet an exemption. Regulation D of the Securities Act contains three rules providing exemptions from the registration requirements, allowing some...
http://www.securitieslawyer101.com/2014/regulation-d/

Integration During the Going Public Process - Securities Lawyer 101

Securities Lawyer 101 Blog Issuers often need to raise funds during their going public transactions to offset legal and accounting costs.  The SEC integration rule addresses the circumstances under which an issuer can raise capital privately while ...
http://www.securitieslawyer101.com/2014/integration-going-public-process-securities-lawyer-101/

Penny Stock Emails 101- Securities Lawyer 101

Securities Lawyer 101 Blog Often times investor relations firms touting microcap stocks use penny stock email containing newsletters and advertisements about a stock's potential.  Recent indictments and SEC cases have focused on the use of penny st...
http://www.securitieslawyer101.com/2014/penny-stock-emails-101-securities-lawyer-101/

FINRA Uses Rule 6490 to Shut Down Wash, Rinse Repeat Issuers

Going Public LawyerSecurities Law Blog FINRA Rule 6490, requires issuers of securities not listed on exchanges to provide timely notice to FINRA of certain corporate actions. Rule 6490 codifies Rule 10b-17 of the Securities Exchange Act.  These corporate actions include name changes, forward stock splits, reverse stock splits, distributions of cash or securities such as dividends, stock splits and other actions, and... Read MoreGoing Public Lawyer
http://www.securitieslawyer101.com/2014/finra-uses-rule-6490to-shutdown-issuers-accepting-toxic-funding/

FINRA Uses Rule 6490 to Shut Down Issuers Accepting Toxic Funding

Securities Law Blog  FINRA Rule 6490, requires issuers of securities not listed on exchanges to provide timely notice to FINRA of certain corporate actions. Rule 6490 codifies Rule 10b-17 of the Securities Exchange Act.  These corporate actions in...
http://www.securitieslawyer101.com/2014/finra-uses-rule-6490to-shutdown-issuers-accepting-toxic-funding/

FINRA Blacklists Kurt Cramer, Mazuma and Asher Enterprises

Going Public LawyerPosted by Brenda Hamilton Attorney On September 16, 2014, Ecolocap Solutions, Inc. (ECOS) filed a report on Form 8-K informing investors and the public that the Financial Industry Regulatory Authority ( FINRA ) had denied its request to process a proposed 1-2,000 reverse split of its common stock. ECOS attached FINRA s letter to Michael Siegel, president and chief executive officer of... Read MoreGoing Public Lawyer
http://www.securitieslawyer101.com/2014/finra-blacklists-kurt-cramer/