State Blue Sky Laws & Securities Regulators

Going Public LawyerSecurities Lawyer 101 Blog The Securities and Exchange Commission (the SEC ) is the federal agency that regulates the securities industry.  In addition to the federal securities laws, companies must comply with state securities laws.  These state laws are often referred to as State Blue Sky Laws. Each state adopts their own individual State Blue Sky Laws laws that govern securities... Read MoreGoing Public Lawyer
http://www.securitieslawyer101.com/state-blue-sky-laws/

Going Public Benefits for Foreign Companies

Securities Lawyer 101 Blog Foreign companies seeking to raise capital often turn to the U.S. capital markets.  Foreign issuers can rely on exemption from registration or register a securities offering with the SEC. Among those benefits to foreign c...
http://www.securitieslawyer101.com/going-public-foreign-companies/

Going Public For Foreign Private Issuers

[caption id="attachment_8098" align="alignleft" width="300"] Ask Securities Lawyer 101 l Foreign Private Issuers[/caption] Securities Lawyer 101 Blog The securities laws provide numerous benefits to issuers who qualify as foreign private issuers....
http://www.securitieslawyer101.com/going-public-foreign-private-issuer/

FINRA Seeks to Make Form 211 Information Publicly Available

Going Public LawyerSecurities Lawyer 101 Blog FINRA is soliciting comment on its proposal to make publicly available through FINRA’s website a repository of Form 211 information. Firms are required to complete FINRA’s Form 211 to demonstrate compliance with the specific information review requirements under SEA Rule 15c2-11 prior to initiating a quotation in a non-exchange-listed security.  Comments to the proposals must be... Read MoreGoing Public Lawyer
http://www.securitieslawyer101.com/finra-seeks-make-form-211-information-publicly-available/

SEC Charges Minister, Thomas Lawler, With Securities Fraud

Securities Lawyer 101 Blog On August 1, 2014, the Securities and Exchange Commission (the “SEC”) filed fraud charges and sought emergency relief, against Thomas Lawler, a resident of Snellville, Georgia and a self-proclaimed minister, and his co...
http://www.securitieslawyer101.com/thomas-lawler-securities-fraud/

Oh the Place You Will Go – The Going Public Process

Going Public LawyerOh the Places You ll Go Understanding the Going Public Process The going public process involves a myriad of rules and regulations that issuers must consider before structuring their transactions. While going public offers many benefits it also comes with risks and quantities of regulations with which issuers must become familiar. Going public is a complicated process, and it is important to... Read MoreGoing Public Lawyer
http://www.securitieslawyer101.com/going-public-process/

Oh the Place You Will Go - The Going Public Process

Oh the Places You'll Go - Understanding the Going Public Process The going public process involves a myriad of rules and regulations that issuers must consider before structuring their transactions. While going public offers many benefits it al...
http://www.securitieslawyer101.com/going-public-process/