Due Diligence in The Form S-1 Registration Statement Process l Going Public Bootcamp

Securities Lawyer 101 Blog Private companies in going public transactions seeking to have their securities quoted on the OTC Markets OTCQB must first become reporting with the Securities and Exchange Commission (the "SEC"). This is typically accompl...
http://www.securitieslawyer101.com/registration-statements/

Investor Relations Providers Indicted For Growlife and Hemp, Inc. Pumps

Three investor relations providers have been indicted for manipulating the securities of several microcap companies, including two marijuana-related stocks, Growlife and Hemp, Inc.   According to the allegations, the four promoters bought inexpen...
http://www.securitieslawyer101.com/investor-relations-growlife-hemp/

Social Media’s Impact on Public Companies

Going Public LawyerSecurities Lawyer 101 Blog Publicly traded companies are increasingly using their company websites and the social media to communicate information to the public.  Investors are increasingly turning to electronic media as a principal source of information about publicly traded companies. In 2000, the SEC adopted Regulation FD under the Securities Exchange Act of 1934 to address selective disclosure of information by... Read MoreGoing Public Lawyer
http://www.securitieslawyer101.com/social-medias-impact-on-public-companies/

Rule 147 l The Intrastate Exemption

Going Public LawyerSecurities Lawyer 101 Blog Section 3(a)(11) of the Securities Act of 1933, as amended (the “Securities Act”), is generally known as the intrastate offering exemption.  It provides an exemption from the registration requirements of the Securities Act for “any security which is a part of an issue offered and sold only to persons who reside in a single State or Territory, where the... Read MoreGoing Public Lawyer
http://www.securitieslawyer101.com/rule-147/

Feds Use Receivership Shell And Informant In Sting

The Securities and Exchange Commission (the "SEC"), the U.S. Attorney for the District of Massachusetts, and the Federal Bureau of Investigation have announced charges against five individuals, who the authorities allege  attempted to manipulate sh...
http://www.securitieslawyer101.com/receivership-shell/

The Emerging Growth Company & Confidential Submission of Draft Registration Statements

Securities Lawyer 101 Blog In order to qualify for many of the benefits created by Title I of the JOBS Act, an issuer must qualify as an Emerging Growth Company (“EGC”). The JOBS Act created a new disclosure standard for Initial Public Offerings...
http://www.securitieslawyer101.com/emerging-growth-company-confidential-submission-of-draft-registration-statements/

Penny Stock Bars 101

Securities Lawyer 101 Blog The Securities & Exchange Commission has the authorization to bar an individual from certain conduct (“SEC Bar”) under the Securities Enforcement Remedies and Penny Stock Reform Act of 1990 (the “Remedies Act”)...
http://www.securitieslawyer101.com/penny-stock-bar/