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OTCMarkets Increases Disclosures of Material Events By Pink Sheet Issuers

Securities Lawyer 101 Blog On January 3, 2013, the OTCMarkets revised its disclosure requirements for issuers quoted with an OTCMarkets “Pink Sheet Current” tier. These revisions increase current...

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SEC Obtains Judgment Against Rule 504 Offering Participant

Securities Lawyer 101 Blog On August 15, 2013, the SEC obtained a summary judgment against Jonathan C. Gilchrist for violation of the antifraud and registration provisions of the federal securities...

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Going Public Law

Securities Lawyer 101 Blog A private company going public is subject to three federal securities laws, each with its own unique requirements.  The three laws are the Securities Act of 1933 (the...

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Investor Relations l General Solicitation Countdown

Securities Lawyer 101 Blog Investor relations also known as stock promotion involves the publication of information about a public company to increase its stock price and trading volume. The person who...

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OTCMarkets’ Cromwell Coulson and Going Public Via a “Slow PO”

Many owners of small businesses give thought to going public, but wonder if the risks and the expense may outweigh the rewards.  They’ve heard that traditional Initial Public Offerings (“IPOs”) using...

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Depository Trust Company l Ask Securities Lawyer 101

Securities Lawyer 101 Blog Q. What is The Depository Trust Company (DTC)? A. It is the only stock depository in the United States. Q. How do public companies obtain DTC eligibility? A. Issuers must...

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SEC Suspends Trading in Left Behind Games and Charges Founder Troy Lyndon

Securities Lawyer 101 Blog On September 25, 2013, the Securities and Exchange Commission (the “SEC”) brought three enforcement actions against penny stock company Left Behind Games (LFBG), its founder,...

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SEC Charges ImageXpres and John and Kevin Zankowski With Securities Fraud

Securities Lawyer 101 Blog On September 25, 2013, the Securities and Exchange Commission (“SEC”) charged ImageXpres Corporation (IMJX), its CEO and president John Zankowski, and its CFO Kevin Zankowski...

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SEC Charges Tibor Klein and Michael Shechtman With Insider Trading

Securities Lawyer 101 Blog Continuing its crackdown on violators of insider trading laws, on September 20, 2013 the Securities and Exchange Commission (“SEC”) charged Tibor Klein, president of Klein...

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DTC Proposes Procedures For DTC Chills and Global Locks

Securities Lawyer 101 Blog The Depository Trust Company is a subsidiary of The Depository Trust & Clearing Corpora­tion (“DTCC”), and is the central securities depository in the U.S. The SEC, the...

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The Curious Case of Irwin Boock

Securities Lawyer 101 Blog The Irwin Boock corporate hijacking case is a gift that keeps on giving.  The Securities and Exchange Commission (“SEC”)  brought its original action against Boock and his...

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Zombie Ticker Mistaken for Twitter, Is Halted by FINRA

Securities Lawyer 101 Blog Sometimes dormant stocks—often called Zombie Tickers—run for no reason at all, but when Tweeter Home Entertainment Group took off on October 4, 2013, there was an obvious...

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SEC Brings Enforcement Action in EB-5 Visa Program Investment Scam

Securities Lawyer 101 Blog Like many other countries, the United States offers potential immigrants preferential treatment—in the form of conditional visas and eventual green cards—if  they’re willing...

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SEC Shuts Down Pyramid Scheme Targeting Asian-American Community

Securities Lawyer 101 Blog On October 17, 2013, the Securities and Exchange Commission (the “SEC”) announced charges and asset freezes against the operators and promoters of a worldwide pyramid scheme...

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Pending Rule 506(C) Proposals

Securities Lawyer 101 Blog On September 23, 2013, for the first time in 80 years, companies became able to advertise their unregistered securities offerings in reliance upon Rule 506(c), of Regulation...

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SEC Chairman Mary Jo White Addresses SEC Disclosure Requirements

Securities Lawyer 101 Blog On October 15, 2013, Mary Jo White, new chairman of the Securities and Exchange Commission (“SEC”), delivered a speech before the National Association of Corporate Directors....

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SEC Issues Trading Suspension of the Securities of High End Ventures

Securities Lawyer 101 Blog On October 21, 2013, the Securities and Exchange Commission (the “SEC”) announced the temporary suspension of trading in the securities of High End Ventures, Inc. The SEC’s...

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SEC Issues Proposals On Crowdfunding

Securities Lawyer 101 Blog On October 23, 2013, the Securities and Exchange Commission (“SEC”) voted unanimously to propose rules under the JOBS Act to permit companies to offer and sell securities...

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Going Public For Foreign Private Issuers

Securities Lawyer 101 Blog The securities laws provide numerous benefits to issuers who qualify as foreign private issuers. Among those benefits are  reduced disclosure  obligations and relaxed...

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The DPO Premier Going Public Solution l Going Public Bootcamp

Posted by Brenda Hamilton, Securities Attorney The direct public offering (“Direct Public Offering”) has become the premier method used in going public transactions.   A Direct Public Offering allows a...

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