Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Monday, April 29, 2013

Level Global Agrees to Pay More Than $21.5 Million to Settle SEC Insider Trading Charges

Washington, D.C., April 29, 2013 — The Securities and Exchange Commission today announced that Greenwich, Conn.-based hedge fund advisory firm Level Global Investors LP has agreed to pay more than $21.5 million to settle charges that its co-founder, who also served as a portfolio manager, and its analyst engaged in repeated insider trading in the securities of Dell Inc. and Nvidia Corp.

http://www.sec.gov/news/press/2013/2013-76.htm

Rule 147 l The Intrastate Exemption

Going Public l OTCMarkets OTCQB

Squattership Proceedings 101

Squattership Proceedings 101

General Solicitation 101 l Rule 506

Thursday, April 18, 2013

Form 10-Q Requirements l Securities Lawyer 101 Going Public Blog

Public companies with a class of securities registered under Section 12 or subject to Section 15(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), are subject to the periodic and current reporting requirements of Section 13 or 15(d) of the Securities Exchange Act. The Exchange Act contains ongoing disclosure requirements that provide investors with current information on an ongoing basis. These include an obligation to file periodic reports on Form 10-K and Form 10-Q and current reports on Form 8-K with the Securities and Exchange Commission (the “SEC”).

http://www.securitieslawyer101.com/form-10-q-requirements-l-securities-lawyer-101-going-public-blog/

Wednesday, April 3, 2013

Securities Registration and the Emerging Growth Company

OTCMarkets Increases Disclosures of Material Events By Pink Sheet Issuers

Going Public in the U.S. for Foreign Issuers

Social Media's Impact on Public Companies

SEC 17(b) Disclosures

Dead Stock Walking | Reverse Merger & Corporate Hijackings | SEC Revocations and Suspensions of Dormant Issuers

OTCMarkets Issuer Reporting Standards

The Rule 147 Intrastate Exemption

Broker-Dealer Registration 101

SCOR Offerings & State Blue Sky Laws

Squattership Proceedings 101

Initial Public Offerings 101

SEC Streamlines Rule Filing Requirements for Dually Registered Clearing Agencies

/Brenda Hamilton securitieslawyer101.com Hamilton & Associates, FL. The Securities and Exchange Commission today announced a final rule that streamlines the process for rulemaking by clearing agencies that are registered with both the SEC and the Commodity Futures Trading Commission (CFTC).

http://www.onlywire.com/r/121370430

Tuesday, April 2, 2013

Initial Public Offerings 101

SEC Says Social Media OK for Company Announcements if Investors Are Alerted

/Brenda Hamilton securitieslawyer101.com Hamilton & Associates, FL. The Securities and Exchange Commission today issued a report that makes clear that companies can use social media outlets like Facebook and Twitter to announce key information in compliance with Regulation Fair Disclosure (Regulation FD) so long as investors have been alerted about which social media will be used to disseminate such information.

http://www.onlywire.com/r/121315645

Transfer Agent Roles - Securities Lawyer 101- Go Public Blog

Restrictive Legends 101

The OTCBB – an Obsolete Marketplace

Bogus State Court Actions Used in $28 million fraud Lead to Indictments

SCOR Offerings & State Blue Sky Laws

SCOR Offerings & State Blue Sky Laws

Private Placements 101

Monday, April 1, 2013

Boca Raton Attorney William J. Reilly Charged with Criminal Securities Fraud

Greenville, SC, Securities Attorney Scott Pfeiffer Charged With Fraud

FBI Arrests Two Attorneys for Insider Trading Violations

Texas Attorney Kelly Rogers Indicted for Role in Oil and Gas Scam

Foreign Traders Agree to Pay $3.3 Million

/Brenda Hamilton securitieslawyer101.com Hamilton & Associates, FL. The Securities and Exchange Commission today announced that a Chinese businessman and his wife whose trading accounts were frozen last year as part of a major insider trading case have agreed to settle charges that they loaded up on the securities of Nexen Inc. while in possession of nonpublic information about an impending announcement that the company was being acquired by China-based CNOOC Ltd.

http://www.onlywire.com/r/121254893