Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Thursday, July 31, 2014

SEC Charges CEO & CFO with Sarbanes Oxley Violations


Going Public LawyerSecurities Lawyer 101 Blog On July 31, 2014, the Securities and Exchange Commission(the SEC ) announced charges against Marc Sherman, the CEO and Edward Cummings, the CFO of a Florida-based computer equipment company for misrepresenting to external auditors and the investing public the state of its internal controls over financial reporting. The Sarbanes Oxley Act of 2002 requires a management’s report... Read MoreGoing Public Lawyer
http://www.securitieslawyer101.com/sarbanes-oxley/

Monday, July 28, 2014

Former Officer of Harbinder to Settle Charges In Hedge Fund Scheme


Going Public LawyerSecurities Lawyer 101 Blog On July 28, 2014, the Securities and Exchange Commission (the “SEC”) announced that the former chief operating officer at Harbinger Capital Partners LLC agreed to settle charges that he assisted a scheme by Philip Falcone to misappropriate millions of dollars from the hedge fund.  According to the SEC, the funds were used to pay Falcone’s personal... Read MoreGoing Public Lawyer
http://www.securitieslawyer101.com/former-officer-of-harbinder-settles-hedge-fund-scheme/

SEC Form D – Notice of Sales


Going Public LawyerSecurities Lawyer 101 Blog Whether or not a company is selling shares to accredited or non-accredited investors in its private placement offering under Regulation D, it must file a Form D Notice of Sales with the Securities & Exchange Commission (the “SEC”). Because a Form D must be filed through SEC’s Electronic Data Gathering, Analysis, and Retrieval Filer Management... Read MoreGoing Public Lawyer
http://www.securitieslawyer101.com/sec-form-d/

Sunday, July 27, 2014

What Disclosure Is Really Required of Stock Promoters?


Securities Lawyer 101 Blog 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 provi...
http://www.securitieslawyer101.com/disclosure-stock-promoters/

What Disclosure Is Really Required of Stock Promoters?


Going Public LawyerSecurities Lawyer 101 Blog 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, emails and other investor relations materials.   Section 17(b) of the Securities Act of 1933, as... Read MoreGoing Public Lawyer
http://www.securitieslawyer101.com/disclosure-stock-promoters/

Saturday, July 26, 2014

Whistleblowers Gone Wild


Going Public LawyerNearly everyone believes the Securities and Exchange Commission s Whistleblower Program is a good idea.  By the agency s account, a considerable number of fraudulent schemes have been exposed, and devious perpetrators brought to justice thanks to tips sent in by people who believe they possess information that could help stop crime.  Unfortunately, not all tips received are reliable, and not all... Read MoreGoing Public Lawyer
http://www.securitieslawyer101.com/whistleblowers-gone-wild/

Thursday, July 24, 2014

SEC Charges Cecil Franklin Speight and International Stock Transfer


Securities Lawyer 101 Blog The Securities and Exchange Commission (the"SEC") charged a Florida-based transfer agent and its owner with defrauding investors by using aggressive boiler room tactics to peddle worthless securities with promises of high ...
http://www.securitieslawyer101.com/international-stock-transfer/

The Form 10 Registration Statement – Ask Securities Lawyer 101


Going Public Lawyer Securities Lawyer 101 Blog Form 10 is a Registration Statement used to register a class of securities pursuant to Section 12(g) of the Securities Exchange Act of 1934 (“Exchange Act”).  This blog post addresses common questions we receive from clients about Form 10 registration statements. Q. Which companies can register a class of securities on Form 10? A. All companies... Read More Going Public Lawyer
http://www.securitieslawyer101.com/form-10-registration-statement-2/

The Form 10 Registration Statement - Ask Securities Lawyer 101


Securities Lawyer 101 Blog Form 10 is a Registration Statement used to register a class of securities pursuant to Section 12(g) of the Securities Exchange Act of 1934 (“Exchange Act”).  This blog post addresses common questions we receive from ...
http://www.securitieslawyer101.com/form-10-registration-statement-2/

Wednesday, July 23, 2014

Confidential Treatment Requests 101


Going Public Lawyer Securities Law Blog An issuer filing a registration statement with the Securities and Exchange Commission (the “SEC”) that desires to keep certain information confidential and out of the public domain may do so under limited circumstances by filing an SEC request for confidential treatment.  Generally, the SEC will not grant a confidential treatment request with respect to information that is... Read More Going Public Lawyer
http://www.securitieslawyer101.com/confidential-treatment-requests/

The SEC’s Oversight of the Registration Statement Process


 Securities Lawyer 101 Blog The Securities and Exchange Commission (“SEC”) is the key regulator of going public transactions, securities offerings and securities professionals. During the going public and registration statement process the SEC ...
http://www.securitieslawyer101.com/sec-role-registration-statement/

Company Website Requirements for Periodic Reports


Securities Lawyer 101 Blog It has become almost  routine for publicly traded companies to use their websites to provide information to investors.  In going public transactions, the issuer’s website can be used to keep shareholders informed abo...
http://www.securitieslawyer101.com/company-website-requirements-for-periodic-reports/

Tuesday, July 22, 2014

CAN I RAISE MONEY FROM INVESTORS WHO ARE NOT “ACCREDITED INVESTORS”? INTRODUCING THE SLO-PO METHOD


Going Public Lawyer  Securities Law Blog By: Jon Dunsmoor A question we frequently receive from entrepreneurs raising capital for the first time is whether can raise money from people who do not meet the U.S. Securities and Exchange Commission ( SEC ) definition of an “accredited investors.” The easiest answer to tell a client is that “you shouldn’t” or “technically, you can but it is... Read More Going Public Lawyer
http://www.securitieslawyer101.com/accredited-investors-slow-po/

Current Status of the JOBS Act Proposals


Securities Law Blog The Jumpstart Our Business Startups Act (or JOBS Act) (the “JOBS Act”), enacted in 2012, is intended, among other things, to reduce barriers to capital formation, particularly for smaller companies. Among other things, the J...
http://www.securitieslawyer101.com/current-status-jobs-act-proposals/

SEC Charges Investor Relations Provider, Kevin McGrath


Securities Law Blog On July 22, 2014, the Securities and Exchange Commission (the "SEC") charged a partner at a New York-based investor relations firm with insider trading on confidential information he learned about two clients while he h...
http://www.securitieslawyer101.com/sec-charges-kevin-mcgrath/

SEC Charges Clean Energy l Securities Lawyer 101


Securities Lawyer 101 Blog On February 25, 2014, the Securities and Exchange Commission (the "SEC") announced SEC charges against an Arizona-based private equity fund manager and his investment advisory firm for orchestrating a scheme to misalloca...
http://www.securitieslawyer101.com/sec-charges-clean-energy/

Monday, July 21, 2014

SEC Charges Brokers, and Codesmart Executive in Pump-And-Dump Scheme


On July 17, 2014, the SEC charged individuals who pocketed millions of dollars running an elaborate pump-and-dump scheme involving shares of a medical education company in Pennsylvania and two other microcap stocks. The SEC alleges that the stock ma...
http://www.securitieslawyer101.com/codesmart/

#pump #dump #scheme #SEC #brokers #BrendaHamilton #securitieslawyer


Sunday, July 20, 2014

Regulation D of the Securities Act


Going Public Lawyer 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 companies to offer and sell their securities without having to register the securities with the SEC. For more information about these... Read More Going Public Lawyer
http://www.securitieslawyer101.com/regulation-d/

#RegulationD #SecurititesAct #goingpublic #securitieslawyer #exemptions #BrendaHamilton

Regulation A


Going Public Lawyer A public offer or sale of securities that meets the following terms and conditions shall be exempt under section 3(b) from the registration requirements of the Securities Act of 1933 (the “Securities Act”): (a) Issuer. The issuer of the securities: (1) Is an entity organized under the laws of the United States or Canada, or any State, Province, Territory or possession thereof, or... Read More Going Public Lawyer
http://www.securitieslawyer101.com/regulation-a-securities-act/

#goingpublic #securities #act #RegulationA #brendahamilton

Rule 504 of Regulation D


Going Public Lawyer Rule 504 of Regulation D provides an exemption from the registration requirements of the federal securities laws for some companies when they offer and sell up to $1,000,000 of their securities in any 12-month period. A company can use this exemption so long as it is not a blank check company and does not have to file reports under the Securities Exchange Act of 1934.... Read More Going Public Lawyer
http://www.securitieslawyer101.com/rule-504-of-regulation-d/

#RegulationD #Rule504 #securities #law #brendahamilton #goingpublic

FINRA Case Guidance & Resources


Going Public Lawyer The following resources help arbitrators find the information they need to conduct cases in a fair and efficient manner.  The useful links below provide valuable information about FINRA arbitration and cases. Rule Guidance Discovery Guide Hearing Scripts & Forms Arbitrator s Guide Arbitrator Experience Survey Disciplinary Referrals The Neutral Corner Neutral Workshop Audio Files Going Public Lawyer
http://www.securitieslawyer101.com/finra-case-guide-resources/

#arbitray #goingpublic #brendahamilton #guidance #resources

FINRA Arbitrators


Going Public Lawyer The success of FINRA securities arbitration cases depends on the quality and skill of the arbitrators who hear and decide the disputes presented by investors. If you qualify, you will join a group of dedicated individuals serving the investing public and the securities industry. FINRA Arbitrators Training, Serving on a Case and Honorarium Benefits of Becoming an ArbitratorHearing Locations Apply... Read More Going Public Lawyer
http://www.securitieslawyer101.com/finra-arbitrators/

#goingpublic #securititieslawyer #FINRA #arbitrators

Why Do We Invest?


Going Public Lawyer Research Individual Differences in Susceptibility to Investment Fraud (PDF 1.8 MB) This study by researchers from Stanford and Yale used multilevel data (e.g., fMRI, survey, demographic) to examine three hypotheses: 1) whether investment fraud victims exhibit more cognitive limitations than non-victims; 2) whether investment fraud victims prefer more financial risk than non-victims; and 3) whether investment fraud victims have less behavioral control... Read More Going Public Lawyer
http://www.securitieslawyer101.com/investor-studies/

#Invest #investment #Fraud #financialrisk #BrendaHamilton

SEC Forms List


Going Public Lawyer 1 Application for registration or exemption from registration as a national securities exchange (pdf)  1-A Regulation A Offering Statement (pdf)  1-E Notification under Regulation E (pdf)  1-N Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products (pdf)  10 General form for registration of securities pursuant to Section 12(b)... Read More Going Public Lawyer
http://www.securitieslawyer101.com/sec-forms-list/

NASAA Forms List


Going Public Lawyer Uniform NASAA Forms Model Accredited Investor Exemption Uniform Notice of Transaction Uniform Application to Register Securities (U1) (PDF) Uniform Consent to Service of Process (U2) Uniform Corporate Resolutions (U2A) Uniform Investment Company Notice Filing (Form NF) Uniform Surety Bond (USB) Uniform Examination Request (U10) (Online Submission) Franchise Registration and Disclosure Guidelines (PDF) Form D (PDF) The following forms are PDF documents, which require Adobe Acrobat... Read More Going Public Lawyer
http://www.securitieslawyer101.com/nasaa-forms-list/

#NASAA #forms #goingpublic #securitieslawyer #BrendaHamilton

State Securities Regulators


Going Public Lawyer Securities Regulators by State Alabama Securities Commission 401 Adams Avenue Suite 280 P.O. Box 304700 Montgomery, AL 36130-4700Joseph P. Borg Director (334) 242-2984 (800) 222-1253 (334) 242-0240 (Fax)Alaska Dept. of Commerce, Community and Economic Development Division of Banking and Securities P.O. Box 110807 Juneau, AK 99811-0807Kevin Anselm Director (907) 465-2521 (907) 465-2549 (Fax)Arizona Corporation Commission Securities Division 1300 West Washington... Read More Going Public Lawyer
http://www.securitieslawyer101.com/state-securities-regulators/

#stateregulations #goingpublic #BrendaHamilton #securititieslaw

Canadian Securities Regulators


Going Public Lawyer   Canada Alberta Securities Commission Suite 600, 250 – 5th Street S.W. Calgary, AB T2P 0R4 CanadaStephen Murison Vice-Chair (403) 297-4233 (403) 297-6156 (Fax)
http://www.securitieslawyer101.com/canadian-securities-regulators/

#Canada #Securities #Regulations #securititieslaw #Brendahamilton

Investor Education Links


Going Public Lawyer
http://www.securitieslawyer101.com/investor-education-links/

#goingpublic #educate #securitieslawyer #BrendaHamilton #investors

Securities Law Definitions


Going Public Lawyer Going Public Lawyer
http://www.securitieslawyer101.com/securities-law-definitions/

#educate #definitions #securitieslaw #goingpublic #BrendaHamilton #lawyer #attorney

http://www.securitieslawyer101.com/googlea66b01d31ca906b4.html


Going Public Lawyer http://www.securitieslawyer101.com/googlea66b01d31ca906b4.html | Going Public Attorney l... Read More Going Public Lawyer
http://www.securitieslawyer101.com/googlea66b01d31ca906b4-html/

Promoters 101


Going Public Lawyer Securities Lawyer 101 Blog The securities laws contain specific rules and regulations that apply to issuers who use the services of promoters. These include disclosure obligations under the Securities Act of 1933, as amended (the “Securities Act”) and the Securities Exchange Act of 1934, (the “Exchange Act”). Additionally, Regulation D of the Securities Act disqualifies an issuer from relying upon... Read More Going Public Lawyer
http://www.securitieslawyer101.com/promoter/

#promoters #rules #regulations #SecurtitiesAct #RegulationD #goingpublic #lawyer #BrendaHamilton

Feds Use Receivership Shell In Amogear Sting


Going Public Lawyer Securities Lawyer 101 The Securities and Exchange Commission, the U.S. Attorney for the District of Massachusetts, and the Federal Bureau of Investigation announced charges against five individuals whose attempt to manipulate shares of Boston-based Amogear Inc.  The five were caught by an FBI undercover operation that was designed using a receivership shell manufactured in Nevada. According to the SEC and criminal... Read More Going Public Lawyer
http://www.securitieslawyer101.com/receivership-shell/

#GoingPublic #Securitites #Amogear #FBI #lawyer #operation #BrendaHamilton

Related Person SEC Disclosures


Going Public Lawyer Securities Lawyer 101 Blog The Securities and Exchange Commission (the “SEC”) disclosure requirements for transactions with certain Related Persons are designed to provide shareholders with a clear and complete picture of key financial relationships impacting public companies. Items 404(a) of Regulations S-K and S-B set out the SEC s disclosure rules for these Related Person transactions. This blog post addresses the... Read More Going Public Lawyer
http://www.securitieslawyer101.com/related-person-disclosures/

#goingpublic #BrendaHamilton #SEC #relatedperson #disclosures #securitieslawyer

FINRA Announces Arbitration Task Force


Going Public Lawyer Securities Lawyer 101 Blog On July 17, 2014, the Financial Industry Regulatory Authority (FINRA) announced its 13-member Arbitration Task Force. The task force will consider possible enhancements to its arbitration forum to improve the transparency, impartiality and efficiency of FINRA s securities arbitration forum for all participants. The task force is comprised of seven public members and six industry members. FINRA s... Read More Going Public Lawyer
http://www.securitieslawyer101.com/finra-arbitration-task-force/

#Brendahamilton #FINRA #Arbitration #TaskForce

Saturday, July 19, 2014

SEC Form 4 PDF


Going Public Lawyer form4 Going Public Lawyer
http://www.securitieslawyer101.com/useful-sec-filing-formswww-securitieslawyer101-com-form-4-pdf/


#Forms #SecuritiesLawyer #goingpublic #BrendaHamilton #useful #DIY

SEC Form 5


Going Public Lawyer form5 Going Public Lawyer
http://www.securitieslawyer101.com/sec-form-5/

SEC Form D


Going Public Lawyer Form D Going Public Lawyer
http://www.securitieslawyer101.com/sec-form-d/

SEC Addresses Retweets of Social Media


Securities Lawyer 101 Blog It has become almost routine for public companies to use social media to interact with their shareholders, and customers. The Securities and Exchange Commission (the “SEC”) recently issued two compliance and disclosure...
http://www.securitieslawyer101.com/social-media-retweets/

#BrendaHamilton #electtoniccommunication #Retweet #SECdisclosure #SocialMedia #securitieslawyer

Thursday, July 17, 2014

Useful SEC Filing Forms


Going Public Lawyer Common SEC Filing Forms 3, 4, 5, D, 13D and 13G   SEC Filing Form 3 A Form 3 must be filed with the SEC no later than ten (10) days after an insider becomes an affiliate of a company subject to the SEC s reporting requirements.   SEC Filing Form 4 A Form 4 must be filed with the SEC... Read More Going Public Lawyer
http://www.securitieslawyer101.com/useful-sec-filing-forms/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities

Form 3 PDF


Going Public Lawyer Form 3 PDF Going Public Lawyer
http://www.securitieslawyer101.com/form-3-pdf/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities

Disclosure Controls and Procedures; Internal Control Over Financial Reporting


Going Public Lawyer Under the Sarbanes-Oxley Act, the issuer s Chief Executive Officer and Chief Financial Officer must provide certifications in each Form 10-K and the Form 10-Q to the effect that they have reviewed the filing, and believe that the filing does not contain any material misstatements or omissions and that the included financial statements and other financial information fairly present the issuer’s financial condition. The... Read More Going Public Lawyer
http://www.securitieslawyer101.com/disclosure-controls-procedures-internal-control-financial-reporting/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities

Securities Lawyers Gone Wild – Bernard Butts


Going Public Lawyer Securities Lawyer 101 Blog On July 15, 2014, the Securities and Exchange Commission announced that a federal judge ordered a Miami-based attorney to pay nearly $4 million in a consent judgment of an SEC case against him for orchestrating a prime bank investment scheme. The money will be returned to investors.  Bernard H. Butts Jr. was charged by the SEC in... Read More Going Public Lawyer
http://www.securitieslawyer101.com/bernard-butts/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities #BernardButts #investment #judgement

Wednesday, July 16, 2014

Raising Capital 101 – Going Public Attorneys


Going Public Lawyer Securities Lawyer 101 Going Public Blog A private or public company can raise capital in a variety of ways. Traditional sources of capital for companies include loans from financial institutions such as a bank, or from friends and family as well as receivable financing. Companies raising capital in going public transactions often do so by selling their securities prior to... Read More Going Public Lawyer
http://www.securitieslawyer101.com/raising-capital-attorney/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities

Raising Capital 101 - Going Public Attorneys


Securities Lawyer 101 - Going Public Blog A private or public company can raise capital in a variety of ways. Traditional sources of capital for companies include loans from financial institutions such as a bank, or from friends and family as well ...
http://www.securitieslawyer101.com/raising-capital-attorney/

#BrendaLeeHamilton #goingpublic #securitieslawyer #attorney #capital #raising #private #companies

Shelf Registration Statements l Going Public Bootcamp


Securities Lawyer 101 Blog A shelf registration statement allows an issuer to register a public offering even when there is no present intention to sell all the securities being registered. Shelf registration statements are often used in going publi...
http://www.securitieslawyer101.com/shelf-registration-statement-attorney/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities #bootcamp #registered

Raising Capital 101 By: Brenda Hamilton Attorney


Securities Lawyer 101 - Going Public Blog A private or public company can raise capital in a variety of ways. Traditional sources of capital for companies include loans from financial institutions such as a bank, or from friends and family as well ...
http://www.securitieslawyer101.com/raising-capital-attorney/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities #private #compaines #financial #bank

Integration of Private and Public Offerings


Going Public 101 Blog Issuers often require capital during the going public process for their operations until their registration statement on Form S-1 is declared effective.  The SEC's integration doctrine addresses the circumstances under which...
http://www.gopublic101.com/public-offering-integration/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities #form #blog #doctrine #integration

How the JOBS Act Benefits Foreign Issuers In Going Public Transactions


Going Public 101 Blog As the Securities and Exchange Commission (“SEC”) finishes the rulemaking that provides a structure for full implementation of the JOBS Act, much has been written about its impact on smaller U.S. businesses.  Less has bee...
http://www.gopublic101.com/jobs-act-foreign-issuers/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities  #JOB #Act #rulemaking

Regulation S-K Index


Going Public Lawyer Standard Instructions for Filing Forms under the Securities Act of 1933, Securities Exchange Act of 1934, and Energy Policy and Conservation Act of 1975 Regulation S-K Regulation S-K Index ATTENTION ELECTRONIC FILERS THIS REGULATION SHOULD BE READ IN CONJUNCTION WITH REGULATION S-T, WHICH GOVERNS THE PREPARATION AND SUBMISSION OF DOCUMENTS IN ELECTRONIC FORMAT. MANY PROVISIONS RELATING TO THE PREPARATION AND SUBMISSION... Read More Going Public Lawyer
http://www.securitieslawyer101.com/regulation-s-k-index/



#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities #rules #regulations #provisions #ExchangeAct

Current Report on Form 8-K


Going Public Lawyer Date of Report (Date of earliest event reported) ________________________________________________________________________________________________________________________________________________ Exact name of registrant as specified in its charter)  _______________________________________________________________________________________________________________________________________________ (State or other jurisdiction of incorporation)             Commission File Number                                      IRS Employer Identification No. ____________________________________________________________________________________________________________________________________ (Address of principal... Read More Going Public Lawyer
http://www.securitieslawyer101.com/form-8-k-report/


#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities  #report #rules #regulations Attorney #counselors

Shelf Registration Statements l Going Public Bootcamp


Securities Lawyer 101 Blog A shelf registration statement allows an issuer to register a public offering even when there is no present intention to sell all the securities being registered. Shelf registration statements are often used in going publi...
http://www.securitieslawyer101.com/shelf-registration-statement-attorney/

SEC Charges Lawbreakers Who Secretly Ran Microcap Company


Posted by Securities Lawyer 101 Blog On July 16, 2014, the Securities and Exchange Commission announced SEC charges against James E. Cohen and Joseph Corazzi who secretly controlled Natural Blue Resources including the operational and management...
http://www.securitieslawyer101.com/sec-charges-lawbreakers/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities #JamesCohen #lawbreakers

Tuesday, July 15, 2014

Small Business Guide to Direct Public Offerings After the JOBS Act


Securities Lawyer 101 Blog The Jumpstart Our Business Startups Act, or JOBS Act, is intended, among other things, to reduce barriers to capital formation, particularly for smaller companies in going public transactions.  The JOBS Act requires the ...
http://www.securitieslawyer101.com/jobs-act-guide/  

#Brenda Hamilton #securitieslawyer #public #goingpublic

Annual Report On Form 10-K


Going Public Lawyer UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 GENERAL INSTRUCTIONS A.   Rule as to Use of Form 10-K. (1)  This Form shall be used for annual reports pursuant to Section  13 or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C.  78m... Read More Going Public Lawyer
http://www.securitieslawyer101.com/form-10-k-report/


#BrendaHamilton #securitieslawyer #SEC #goingpublic #Form

Monday, July 14, 2014

Shelf Registration Statements in Going Public Transactions


Going Public 101 Blog  A shelf registration statement allows an issuer to register a public offering even when there is no present intention to sell all the securities being registered. Shelf registrations are often used in going public transaction...
http://www.gopublic101.com/shelf-registration-statements/

Going Public Attorney Insights


Going Public Lawyer Going Public 101 Blog A Going Public Attorney is an important part of the overall going public process.   A Company s Going Public Attorney in the beginning of the process assist the company in selecting the best method to obtain public company status. In 2013, changes resulting from the JOBS Act, made going public transactions an appealing option for private companies seeking to... Read More Going Public Lawyer
http://www.securitieslawyer101.com/going-public-attorney-insights/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities #JOB #Act #attorney

Going Public Lawyer Insights


Going Public 101 Blog A Going Public Lawyer is an important part of the overall going public process.   A Going Public Lawyer in the beginning of the process assists the issuer in structuring its transaction the most time and cost effective way to
http://www.securitieslawyer101.com/going-public-lawyer-insights/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities

Going Public Lawyer Insights


Going Public 101 Blog A Going Public Lawyer is an important part of the overall going public process.   A Going Public Lawyer in the beginning of the process assists the issuer in structuring its transaction the most time and cost effective way to
http://www.securitieslawyer101.com/going-public-lawyer-insights/


#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities

Going Public Lawyer Insights


Going Public 101 Blog A Going Public Lawyer is an important part of the overall going public process.   A Going Public Lawyer in the beginning of the process assist the issuer in selecting the best method to obtain public company status. In 2013,...
http://www.securitieslawyer101.com/going-public-lawyer-insights/



#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities

Registration Statement Lawyers


The securities attorneys at Hamilton & Associates Law Group have provided many private companies with their going public solution.   The registration statement lawyers will design and implement the going public structure most beneficial to your...
http://www.securitieslawyer101.com/registration-statement-lawyers/


#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities  #registration #statement #private #companies

Registration Statement Lawyers


The securities attorneys at Hamilton & Associates Law Group have provided many private companies with their going public solution.   The registration statement lawyers will design and implement the going public structure most beneficial to your...
http://www.securitieslawyer101.com/registration-statement-lawyers/



#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities #registration #statement

Crowdfunding Lawyers


Since the JOBS Act was signed into law in April 2012, market participants and observers have anticipated the release of the regulations governing equity crowdfunding. On October 23, 2013, the SEC released Regulation Crowdfunding. Many small business ...
http://www.securitieslawyer101.com/crowdfunding-lawyers/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities  #regulation #equity #government

Sunday, July 13, 2014

Accredited Investor Verification – The SEC Provides Guidance For Rule 506(c) Offerings


Securities Law 101 Blog On July 3, 2014, the Securities and Exchange Commission (the “SEC”) six compliance and disclosure interpretations (“CD&I”) providing guidance as to the accredited investor verification in Rule 506(c) offerings.
http://www.securitieslawyer101.com/accredited-investor-verification/




#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities

Types of Securities That Can Be Registered on Form S-1 Registration Statements


Securities Lawyer 101 Blog A registration statement on Form S-1 can be used to register various types of securities offerings with the Securities and Exchange Commission ("SEC").   Form S-1 provides issuers with flexibility in the types of securiti...
http://www.securitieslawyer101.com/form-s-1-types/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities

What Is Required In a Form S-1 Registration Statement?


Securities Lawyer 101 Form S-1 registration statements are the most commonly used registration statement form.  It allows issuers to register various types of offerings and the form can be used by both public and private companies engaged in going...
http://www.securitieslawyer101.com/form-s-1-registration-statement-requirements/


#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities #offerings #private #companies #registration #statement

SEC Periodic Reporting & Compliance


Securities Lawyer 101 Private and Publicly traded companies that are reporting with the SEC must file reports periodic reports. Not all publicly traded companies are required to file reports with the SEC.  The SEC’s reporting requirements a...
http://www.securitieslawyer101.com/sec-periodic-reporting/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities #traded #companies #reports

Types of Securities That Can Be Registered on Form S-1 Registration Statements


Going Public Lawyer Securities Lawyer 101 Blog A registration statement on Form S-1 can be used to register various types of securities offerings with the Securities and Exchange Commission ( SEC ).   Form S-1 provides issuers with flexibility in the types of securities that can be registered.  Form S-1 is used more often by issuers than any other type of registration statement form. The... Read More Going Public Lawyer
http://www.securitieslawyer101.com/form-s-1-types/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities #registration #statement #offerings

SEC Charges Golfers in Scam By: Brenda Hamilton Lawyer


Securities Law Blog On July 11, 2014, the Securities and Exchange Commission announced charges against a group of golfing friends, who made more than $554,000 of illegal profits from trading on inside information about Massachusetts-based American S...
http://www.securitieslawyer101.com/sec-charges-golfers/


#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities #illegal #trade #charger

Useful SEC Links


Going Public Lawyer Useful SEC Links Form D Form S-1 Form s-4 Form S-8 SEC Homepage  Division of Investment Management Division of Trading and Markets Filing and Forms (EDGAR) News Digest No-Action, Interpretive and Exemptive Letters Office of Chief Accountant  Office of Internal Affairs Reports and Releases on Sarbanes-Oxley Speeches and Public Statements Research Sites and Useful Links Research on the SEC Website ... Read More Going Public Lawyer
http://www.securitieslawyer101.com/useful-sec-links/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities

Saturday, July 12, 2014

Officer and Director Disclosures of Legal Proceedings

Director Disclosures - Going Public Attorneys
The securities laws require that public companies provide disclosure about the backgrounds of its officers and directors and describe certain material information that is “material to an evaluation of the ability or integrity of any director, person nominated to become a director or executive officer of the company.  Additionally, companies must consider their obligation to disclose material information to investors. The

SEC Seeks to Reduce Gobbly Gook Disclosures By: Securities Lawyers 101

SEC Disclosure l Brenda Hamilton Securities Lawyer
This month, the Securities and Exchange Commission (the “SEC”) provided guidance related to the enhanced mutual fund disclosure amendments it adopted in 2009. The SEC’s guidance is based on comments the staff of the

FINRA Brings Transparency to Rule 144A Corporate Debt Transactions


On June 30, 2014, the Financial Industry Regulatory Authority (“FINRA”) began publicly disseminating Rule 144A transaction data in corporate debt securities, bringing transparency to a market.     144A transactions—resales of restricted corporate debt securities to large institutions called qualified institutional buyers (QIBs)—account for a significant portion of the volume in corporate debt securities.In the first quarter of 2014,

SEC Announces Tick Size Plan

Up Tick - Securities Lawyer Blog

On June 25, 2014, the Securities and Exchange Commission (the “SEC”) announced its tick size plan whereby it ordered that the national securities exchanges and the Financial Industry Regulatory Authority (“FINRA”) to act jointly to develop and file with the Commission a national market system

The SEC’s Cross-Border Security Swap Rules

The Securities and Exchange Commission (the “SEC”) adopted the first of a series of rules and guidance on cross-border security-based swap activities for market participants.
The SEC will use the new rules to finalizing the remaining proposals. 

Why Companies Going Public Need a Securities Lawyer

Direct Public Offering - Brenda Hamilton Attorney
Companies going public must comply with federal and state securities laws. Section 5 of the Securities Act of 1933, as amended (the “Securities Act”) and all state securities regulators require that all securities either be registered with the Securities and Exchange Commission (the “SEC”) or be exempt from registration.

The Exchange Act Lawyer’s Role In Going Public Matters

Securities Lawyer 101 - Exchange Act

The Securities Exchange Act of 1934 (the “Securities Exchange Act”) grants broad authority to the Securities and Exchange Commission (“SEC”) to oversee the securities industry. The SEC’s authority includes the power to register, regulate, and oversee brokerage firms, transfer agents, and clearing agencies; as well as securities self regulatory organizations (SROs), including the  Financial Industry Regulatory Authority (“FINRA”).

Carolyn Winsor Apprehended by U.S. Authorities

On June 27, 2014, Caroline Winsor, also known as Caroline Meyers and Caroline Danforth has been apprehended and is in the custody of U.S. authorities.  Winsor is  charged in an indictment with conspiracy, wire fraud, and securities fraud.   In April of 2013, more than a year before her arrest, Winsor was the subject of a detailed forensic report by www.promotionstocksecrets.com that contained allegations mirroring the governments charges against Winsor.

Understanding the Going Public Process

The Going Public Process  l By Brenda Hamilton Florida Attorney

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.

The Laws That Apply to a Direct Public Offering

Direct Public Offering Blog Series
Brenda Hamilton Attorney l Securities Lawyer 101
An issuer conducting a registered direct public offering is subject to three federal securities laws, each with its own unique requirements.  These are the Securities Act of 1933 (the “Securities Act”), the Securities Exchange Act of 1934 (the “Exchange Act”) and the Sarbanes-Oxley Act of 2002 (”Sarbanes-Oxley”).

Direct Public Offering Toolbox l By: Brenda Hamilton Attorney


Securities Lawyer 101 Blog For companies with a reasonable time schedule for going public, a direct public offering provides an appealing method for obtaining public company status.  In direct public offering, a company’s shares are sold directly...
http://www.securitieslawyer101.com/direct-public-offerings/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities

Friday, July 11, 2014

Five Charged with Attempted Manipulation of Amogear


Securities Lawyer 101 The Securities and Exchange Commission, the U.S. Attorney for the District of Massachusetts, and the Federal Bureau of Investigation today announced charges against five individuals whose attempt to manipulate shares of Bosto...
http://www.securitieslawyer101.com/amogear/


#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities #FBI #shares #manipulate

Thursday, July 10, 2014

SEC Obtains Judgment Against John Babikian


Securities Lawyer 101 Blog On July 8, 2012, the Securities and Exchange Commission announced (the "SEC") announced that the United States District Court for the Southern District of New York entered a final judgment against defendant John Babikian i...
http://www.securitieslawyer101.com/sec-john-babikian/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities

Small Business Guide to Direct Public Offerings


Securities Lawyer 101 Blog The Jumpstart Our Business Startups Act, or JOBS Act, is intended, among other things, to reduce barriers to capital formation, particularly for smaller companies in going public transactions.   The JOBS Act requires th...
http://www.securitieslawyer101.com/direct-public-offerings-guide/


#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities #smallbusiness #public #offerings

Small Business Guide to Direct Public Offerings


Securities Lawyer 101 Blog The Jumpstart Our Business Startups Act, or JOBS Act, is intended, among other things, to reduce barriers to capital formation, particularly for smaller companies in going public transactions.   The JOBS Act requires th...
http://www.securitieslawyer101.com/direct-public-offerings-guide/


#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities  #JumpStart #JOBS #ACT

Small Business Guide to Direct Public Offerings After the JOBS Act


Securities Lawyer 101 Blog The Jumpstart Our Business Startups Act, or JOBS Act, is intended, among other things, to reduce barriers to capital formation, particularly for smaller companies in going public transactions.  The JOBS Act requires the ...
http://www.securitieslawyer101.com/jobs-act-guide/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities #JOB #Jumpstart #reduce #barriers

Wednesday, July 9, 2014

Small Business Guide to Direct Public Offerings After the JOBS Act


Securities Lawyer 101 Blog The Jumpstart Our Business Startups Act, or JOBS Act, is intended, among other things, to reduce barriers to capital formation, particularly for smaller companies in going public transactions.  The JOBS Act requires the ...
http://www.securitieslawyer101.com/jobs-act-guide/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities

Tuesday, July 8, 2014

Form 8-K Attorneys l Securities Lawyer 101


Securities Lawyer 101 Blog Private companies going public should be familiar with the requirements of Form 8-K.  Once a company completes its going public transaction and its Form S-1 is effective,  it is required to comply with the SEC’s peri...
http://www.securitieslawyer101.com/form-8-k-lawyer/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities

Form 8-K Attorneys l Securities Lawyer 101


  Securities Lawyer 101 Blog Private companies going public should be familiar with the requirements of Form 8-K.  Once a company completes its going public transaction and its Form S-1 is effective,  it is required to comply with the SEC
http://www.securitieslawyer101.com/form-8-k-lawyer/


SEC Settles Action Against Noble Executives Mark A. Jackson and James J. Ruehle


On July 7, 2014, the Securities and Exchange Commission (SEC) announced that former Noble CEO Mark A. Jackson and former Director and Division Manager of Noble's Nigeria subsidiary James J. Ruehlen, have agreed to settle the SEC's pending civil actio...
http://www.securitieslawyer101.com/mark-jackson/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities

SEC Settles Action Against Noble Executives Mark A. Jackson and James J. Ruehle


On July 7, 2014, the Securities and Exchange Commission (SEC) announced that former Noble CEO Mark A. Jackson and former Director and Division Manager of Noble's Nigeria subsidiary James J. Ruehlen, have agreed to settle the SEC's pending civil actio...
http://www.securitieslawyer101.com/mark-jackson/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities #Nigeria

Monday, July 7, 2014

Form 10-Q Requirements l Going Public Lawyer


Securities Lawyer 101 - Going Public Blog Publicly traded 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 SE...
http://www.securitieslawyer101.com/form-10-q-lawyer/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities #requirement

Form 10-Q Requirements l Going Public Lawyer


Securities Lawyer 101 - Going Public Blog Publicly traded 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 SE...
http://www.securitieslawyer101.com/form-10-q-lawyer/

#Form10Q #securitieslawyer #goingpublic #BrendaHamilton #periodicreporting #attorney

SEC Settles Action Against Noble Executives Mark A. Jackson and James J. Ruehle


Going Public Lawyer On July 7, 2014, the Securities and Exchange Commission (SEC) announced that former Noble CEO Mark A. Jackson and former Director and Division Manager of Noble s Nigeria subsidiary James J. Ruehlen, have agreed to settle the SEC s pending civil actions against them. The case had been set for a jury trial. The Court entered a final judgment in the matter... Read More Going Public Lawyer
http://www.securitieslawyer101.com/mark-a-jackson/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities

Securities Lawyers Gone Wild – Charles Blackwelder Indicted


Going Public Lawyer Charles Blackwelder, an Indiana lawyer and his daughter have charged in connection with a $23 million Ponzi scheme that allegedly targeting senior citizens.  Blackwelder and his daughter, Cara Grumme, were charged with twenty felonies, including nine counts of securities fraud and four counts of securities fraud on a victim over  the age of 60.  Each of the felonies carries a... Read More Going Public Lawyer
http://www.securitieslawyer101.com/charles-blackwelder/


#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities #Ponzi


Securities Lawyers Gone Wild - Charles Blackwelder Indicted


Charles Blackwelder, an Indiana lawyer and his daughter have charged in connection with a $23 million Ponzi scheme that allegedly targeting senior citizens. Blackwelder and his daughter, Cara Grumme, were charged with twenty felonies, including ni...
http://www.securitieslawyer101.com/charles-blackwelder/

The Role of the Crowdfunding Attorney


Going Public Lawyer Since the JOBS Act was signed into law in April 2012, market participants and observers have anticipated the release of the regulations governing equity crowdfunding. On October 23, 2013, the SEC released Regulation Crowdfunding. Many small business owners and advocates believe equity crowdfunding will make access to capital easier for startups and small businesses and fundamentally change the capital raising... Read More Going Public Lawyer
http://www.securitieslawyer101.com/crowdfunding-attorney/

#BrendaHamilton #securities #Lawyer # crowdfunding #JOBS #regulation #SEC #goingpublic

The Role of the Direct Public Offering Lawyer


Going Public Lawyer One of the most efficient and cost effective ways to achieve public company status is by using a Direct Public Offering.  The Direct Public Offering Lawyers at Hamilton & Associates will assist you with your Direct Public Offering using a registration statement. Direct Public Offerings can be structured a variety of ways.  A company can use a Form S-1 registration statement to... Read More Going Public Lawyer
http://www.securitieslawyer101.com/direct-public-offering-lawyer/

The Role of the Crowdfunding Lawyer


Going Public Lawyer Since the JOBS Act was signed into law in April 2012, market participants and observers have anticipated the release of the regulations governing equity crowdfunding. On October 23, 2013, the SEC released Regulation Crowdfunding. Many small business owners and advocates believe equity crowdfunding will make access to capital easier for startups and small businesses and fundamentally change the capital raising... Read More Going Public Lawyer
http://www.securitieslawyer101.com/crowdfunding-lawyer/

#Goingpublic #brendahamilton #SEC #securitieslawyer #law #Securities #regulation #crowdfunding

The Role of the Going Public Attorney


Going Public Lawyer The role of the going public attorney is one of the most important in the going public process. The going public attorneys at Hamilton & Associates Law Group have provided private companies with their going public solutions for over ten years. A skilled going public attorney can  design and implement the going public structure most beneficial to your company without... Read More Going Public Lawyer
http://www.securitieslawyer101.com/going-public-attorney/

#brendahamilton #securitieslawyer #SEC #goingpublic #attorney #private #companies

SEC Issuance Guidance on Accredited Investor Status


By: Jon Dunsmoor, Esquire Issuers conducting offerings in reliance upon Rule 506 (c) of Regulation D of the Securities Act of 1933, as amended (the "Securities Act") may engage in general solicitation and advertising so long as sales are made only...
http://www.securitieslawyer101.com/accredited-investor-status/

The Role of the Going Public Lawyer


Going Public Lawyer The role of the Going Public Lawyer is one of the most important in the going public process. The Going Public Lawyers at Hamilton & Associates Law Group have provided private companies with their going public solutions for over ten years. A skilled Going Public Lawyer can  design and implement the going public structure most beneficial to your company without... Read More Going Public Lawyer
http://www.securitieslawyer101.com/going-public-lawyer/
#goingpublic #brendahamilton #securitieslawyer #companies #SEC

The Role of the Go Public Lawyer


Going Public Lawyer The role of the Go Public Lawyer is one of the most important in the going public process. The Go Public Lawyers at Hamilton & Associates Law Group have provided private companies with their going public solutions for over ten years. A skilled Go Public Lawyer can  design and implement the going public structure most beneficial to your company without... Read More Going Public Lawyer
http://www.securitieslawyer101.com/go-public-lawyer/

The Role of the Go Public Attorney l Securities Lawyer 101


Going Public Lawyer The role of the Go Public Attorney is one of the most important in the going public process. The Go Public Attorneys at Hamilton & Associates Law Group have provided private companies with their going public solutions for over ten years. A skilled Go Public Attorney can  design and implement the going public structure most beneficial to your company without... Read More Going Public Lawyer
http://www.securitieslawyer101.com/go-public-attorney/

Sunday, July 6, 2014

Form S-1 Financial Statements l Going Public Attorneys


Going Public Lawyer Securities Lawyer 101 Blog Companies that register securities for direct public offering on Form S-1 as part of their going public transaction must provide audited financial statements to the Securities and Exchange Commission ( SEC ). These financial statements include a balance sheet, statement of shareholders equity, income statement and statement of cash flows. This blog post discusses the financial statement requirements... Read More Going Public Lawyer
http://www.securitieslawyer101.com/form-s-1-financial-statement/

Form S-1 Financial Statement Requirements


Securities Lawyer 101 Blog Companies that register shares for a direct public offering on Form S-1 as part of their going public transaction must provide audited financial statements to the Securities and Exchange Commission ("SEC"). These audited f...
http://www.securitieslawyer101.com/form-s-1-financial-statement/

Bank Secrecy 101 By: Brenda Hamilton Attorney


Going Public Lawyer Securities Lawyer 101 Blog Posted By: Brenda Hamilton Attorney The Bank Secrecy Act (“BSA”) requires financial institutions in the United States to assist U.S. government agencies to detect and prevent money laundering activity. The Act’s regulations apply to broker-dealers as well as to banks and other depository institutions. The BSA, also called the Currency and Foreign Transactions Reporting Act, was... Read More Going Public Lawyer
http://www.securitieslawyer101.com/bank-secrecy/

Saturday, July 5, 2014

Exchange Act Registration Statements in Going Public Transactions


[caption id="attachment_4726" align="alignleft" width="300"] Ask Securities Lawyer 101 l Form 10 Registration[/caption] Securities Lawyer 101 Blog All public companies whose securities are registered on a national securities exchange, and generally...
http://www.securitieslawyer101.com/exchange-act-registration-statement/

The Laws That Apply to a Direct Public Offering


Direct Public Offering Blog Series An issuer conducting a registered direct public offering is subject to three federal securities laws, each with its own unique requirements.  These are the Securities Act of 1933 (the “Securities Act”), the Se...
http://www.securitieslawyer101.com/direct-public-offering-laws/

Friday, July 4, 2014

Understanding the Going Public Process


Oh the Places You Will 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 a...
http://www.securitieslawyer101.com/going-public-process/

Exchange Act Registration Statements in Going Public Transactions


[caption id="attachment_4726" align="alignleft" width="300"] Ask Securities Lawyer 101 l Form 10 Registration[/caption] Securities Lawyer 101 Blog All public companies whose securities are registered on a national securities exchange, and generally...
http://www.securitieslawyer101.com/exchange-act-attorney/

The Exchange Act Lawyer's Role In Going Public Matters


Securities Lawyer 101 Blog The Securities Exchange Act of 1934 (the “Securities Exchange Act”) grants broad authority to the Securities and Exchange Commission (“SEC”) to oversee the securities industry. The SEC’s authority includes the...
http://www.securitieslawyer101.com/exchange-act-lawyer/


#brendahamilton #securitieslawyer #SEC #ExchangeAct

Form 10 Registration Statement l Q & A l By: The Going Public Lawyers


Securities Law 101 Blog Registration Statements on Form 10 ("Form 10") register a class of securities under Section 12(g) of the Securities Exchange Act of 1934 (the “Exchange Act”).  Unlike securities registered under the Securities Act of 193...

http://www.securitieslawyer101.com/form-10-registration-statement-q-a/

#BrendaHamilton #securities #lawyer #attorney #registration #statement #SEC #ExchangeAct

Thursday, July 3, 2014

Carolyn Winsor Apprehended by U.S. Authorities


Securities Lawyer 101 Blog On June 2, 2014, Caroline Winsor, also known as Caroline Meyers and Caroline Danforth has been apprehended and is in the custody of U.S. authorities.  Winsor is  charged in an indictment with conspiracy, wire fraud, and...
http://www.securitieslawyer101.com/carolyn-winsor-arrest/

#arrest #securitieslaw #securitieslawyer #BrendaHamilton #lawyer #SEC #illegal #conspiracy

The Securities Exchange Act Lawyer and Going Public


Going Public Lawyer Securities Lawyer 101 Blog The Securities Exchange Act of 1934 (the “Securities Exchange Act”) grants broad authority to the Securities and Exchange Commission (“SEC”) to oversee the securities industry. The SEC’s authority includes the power to register, regulate, and oversee brokerage firms, transfer agents, and clearing agencies; as well as securities self regulatory organizations (SROs), including the  Financial Industry Regulatory Authority... Read More Going Public Lawyer
http://www.securitieslawyer101.com/exchange-act-lawyer/

Securities Lawyers Gone Wild – Todd A. Duckson


Going Public Lawyer On June 2, 2014, the Securities and Exchange Commission (the SEC ) announced that, on June 27, 2014, Judge Donovan W. Frank, of the U.S. District Court in St. Paul, Minnesota, issued an Opinion and Order imposing sanctions against securities lawyer Todd A. Duckson, a Minneapolis, Minnesota attorney, Capital Solutions Monthly Income Fund, LP, a Minneapolis-based real estate lending fund (the... Read More Going Public Lawyer
http://www.securitieslawyer101.com/securities-lawyer-todd-duckson/

Form 10


Going Public Lawyer UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10 GENERAL FORM FOR REGISTRATION OF SECURITIES Pursuant to Section 12(b) or (g) of The Securities Exchange Act of 1934  _______________________________________________________________________________________________________________ (Exact name of registrant as specified in its charter) _______________________________________________________________________________________________________________ (State or other jurisdiction of incorporation or organization)  (I.R.S. Employer Identification No.)                                                     _______________________________________________________________________________________________________________________ (Address of principal executive offices)... Read More Going Public Lawyer
http://www.securitieslawyer101.com/form-10-registration-statement/


 #Form10 #securitieslawyer #BrendaHamilton #goingpublic

Why Companies Going Public Need a Securities Lawyer


 Securities Lawyer 101 Blog  Companies going public must comply with federal and state securities laws. Section 5 of the Securities Act of 1933, as amended (the "Securities Act") and all state securities regulators require that all securities eith...
http://www.securitieslawyer101.com/going-public-lawyers/

Wednesday, July 2, 2014

SEC Charges Five With Short Sale Violations


Securities Lawyer 101 Blog On July 2, 2014 — The Securities and Exchange Commission (the "SEC") charged five short sellers who were traders for committing short selling violations. According to the SEC, the short sellers were trading for...
http://www.securitieslawyer101.com/sec-charges-short-sale/

SEC Charges Short Sellers


Securities Lawyer 101 Blog On July 2, 2014 — The Securities and Exchange Commission (the "SEC") charged five traders for committing short selling violations while trading for themselves and Worldwide Capital Inc., a Long Island, N.Y.-based pr...
http://www.securitieslawyer101.com/sec-charges-short-sellers/

SEC Form S-1 Registration Statement


Going Public Lawyer Securities Law Blog Form S-1 Registration Statement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM  S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933  (Exact name of registrant as specified in its charter) (State or other jurisdiction of incorporation or organization) (Primary Standard Industrial Classification Code Number) (I.R.S. Employer Identification Number) (Address, including zip code, and telephone number,including... Read More Going Public Lawyer
http://www.securitieslawyer101.com/form-s-1-registration-statement/

NutraFuels Launches Extreme Energy Spray


Going Public Lawyer NutraFuels, Inc. (NTFU) Launches TapouT XT Extreme Energy Oral Spray COCONUT CREEK, FL, Jul 01, 2014 (Marketwired via COMTEX) NutraFuels, Inc. (PINKSHEETS: NTFU), a manufacturer of oral spray dietary supplements, announced today that the company plans to launch its latest product, TapoutT XT Extreme Energy Oral Spray in the month of August. NTFU obtained a sublicense agreement to manufacture,... Read More Going Public Lawyer
http://www.securitieslawyer101.com/nutrafuel/

SEC Cross-Border Security Swap Rule


Securities Lawyer 101 Blog The Securities and Exchange Commission (the "SEC") adopted the first of a series of rules and guidance on cross-border security-based swap activities for market participants. The SEC will use the new rules to finalizing...
http://www.securitieslawyer101.com/security-swap/

Tuesday, July 1, 2014

SEC Announces Tick Size Plan


Going Public Lawyer Securities Law Blog On June 25, 2014, the Securities and Exchange Commission (the “SEC”) announced its tick size plan whereby it ordered that the national securities exchanges and the Financial Industry Regulatory Authority (“FINRA”) to act jointly to develop and file with the Commission a national market system plan. The plan will seek to implement a targeted 12 month pilot... Read More Going Public Lawyer
http://www.securitieslawyer101.com/tick-size/

FINRA Brings Transparency to Rule 144A Corporate Debt Transactions


On June 30, 2014, the Financial Industry Regulatory Authority ("FINRA") began publicly disseminating Rule 144A transaction data in corporate debt securities, bringing transparency to a market.     144A transactions—resales of restricted corporate...
http://www.securitieslawyer101.com/rule-144a/

FINRA Fines Goldman Sachs Execution & Clearing $800,000


Securities Lawyer 101 Blog On July 1, 2014, the Financial Industry Regulatory Authority ("FINRA") announced that it had fined Goldman Sachs Execution & Clearing, L.P. $800,000 for failing to have reasonably designed written policies and procedur...
http://www.securitieslawyer101.com/goldman-sachs/

SEC Seeks to Reduce Gobbly Gook Disclosures By: Securities Lawyers 101


Going Public Lawyer Securities Lawyer 101 Blog This month, the Securities and Exchange Commission (the “SEC”) provided guidance related to the enhanced mutual fund disclosure amendments it adopted in 2009. The SEC’s guidance is based on comments the staff of the Division of Investment Management provided to a number of funds and their securities lawyers.  The SEC guidance is intended to focus funds on certain form... Read More Going Public Lawyer
http://www.securitieslawyer101.com/securities-lawyers-disclosure/

Using Preferred Stock in the EB-5 Program


Securities Lawyers 101 Blog Posted by Todd Feinstein, Esquire The purpose of the EB-5 Program is to promote the immigration of people who can help create jobs for United States workers through their investment of capital into the United States ec...
http://www.securitieslawyer101.com/eb-5-lawyer/