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15 Mar 2013, 8:29 pm by securities-lawyer-101
The Role of Market Makers in Going Public Transactions The last step in going public transactions is for the soon-to-be-public company to obtain a stock trading or ticker symbol. In order to obtain a ticker symbol, the company seeking to … Continue reading → [read post]
9 Jun 2011, 12:56 pm by Jason Neufeld
This blog post is a departure from my usual musings. I am proud to announce that I was just invited to become a member of the Broward 2-1-1 Board of Directors for 2011-2012. I would like to dedicate today’s post toward discussing this phenomenal organization. I take great pride in being apart of a profession that is dedicated to helping the little guy. When good people have been injured and, due to the negligence of another, cannot support themselves or their family because of  enormous medical… [read post]
15 Jul 2011, 12:36 pm by Joe Bornstein
2-1-1 Maine, a statewide resource directory that connects Mainers  to over 8,000 health and human services, agencies and support groups, is celebrating its fifth anniversary. The toll free hotline Call Center, open 24 hours a day, 7 days a week, is available all across Maine and can be accessed from a cell phone or landline phone. Simply dial the digits, 2-1-1. How to use 2-1-1:   Mainers should use 2-1-1's services when they need to obtain resources and answers on issues including but not… [read post]
8 Sep 2013, 3:33 am by securities-lawyer-101
Securities Lawyer 101 Blog The last step in going public transactions is most often obtaining a stock trading or ticker symbol from the Financial Industry Regulatory Authority (“FINRA”). For a company to obtain a ticker, a market maker must submit … Continue reading → [read post]
5 May 2013, 7:25 pm by securities-lawyer-101
The last step in going public transactions is most often obtaining a stock trading or ticker symbol from the Financial Industry Regulatory Authority (“FINRA”). For a company to obtain a ticker, a market maker must file a Form 211 with … Continue reading → [read post]
4 Jun 2013, 4:56 am by securities-lawyer-101
The OTCMarkets Group operates an electronic inter-dealer quotation system called OTC Link that broker-dealers use to trade securities not listed on a national securities-related exchange.  OTCMarkets rank issuers in tiers; each issuer’s rank depends upon the amount of disclosure provided. … Continue reading → [read post]
14 Jan 2014, 1:29 am by securities-lawyer-101
Securities Lawyer 101 Blog One step in going public transactions is obtaining a stock trading or ticker symbol from the Financial Industry Regulatory Authority (“FINRA”). For a company to obtain a ticker, a sponsoring market maker must submit an application on Form … Continue reading → [read post]
24 Feb 2013, 5:57 pm by securities-lawyer-101
Posted by Brenda Hamilton, Securities Attorney, Boca Raton Florida Many private companies seeking to go public are opting to list on the OTCMarkets OTCQB.   The OTCMarkets Group operates an electronic inter-dealer quotation system called OTC Link. OTCMarkets ranks issuers in … Continue reading → [read post]
12 Mar 2012, 6:44 pm by securities-lawyer-101
Rule 144 of the Securities Act provides a safe harbor from the registration requirements of the Securities Act of 1933, as amended (the “Securities Act”) for resales of restricted and control securities if specified conditions are met.  One of the … Continue reading → [read post]
4 Oct 2013, 2:32 pm by securities-lawyer-101
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 explanation:  the company’s stock symbol is TWTR.  TWTRQ, to … Continue reading → [read post]
4 Jun 2013, 4:47 am by securities-lawyer-101
Many private companies that go public are opting for the listing on the OTCMarket’s Pink Sheets due to the increased costs and more stringent regulations associated with Securities and Exchange Commission (“SEC”) reporting. Rule 15c2-11 (“SEC Rule 15c2-11”) of the … Continue reading → [read post]
6 May 2013, 4:16 pm by securities-lawyer-101
Securities Lawyer 101 Blog Many private companies that go public are opting for the listing on the OTCMarket’s Pink Sheets due to the increased costs and more stringent regulations associated with Securities and Exchange Commission (“SEC”) reporting. Rule 15c2-11 (“SEC … Continue reading → [read post]
13 Sep 2013, 7:05 am by securities-lawyer-101
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 registration statements are complicated and costly, and that Securities … Continue reading → [read post]
6 Aug 2013, 1:11 pm by securities-lawyer-101
Blog 1 l Getting a Shareholder Base The going public process involves a number of steps that vary depending on the characteristics of the private company wishing to go public, and whether it will become a Securities and Exchange Commission … Continue reading → [read post]
29 Aug 2013, 9:00 pm by securities-lawyer-101
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 “Securities Act”), the Securities Exchange Act of 1934 … Continue reading → [read post]
9 Aug 2013, 1:53 pm by securities-lawyer-101
Getting Listed on the OTC Pink Sheets Many companies going public for the first time are opting for the OTCMarkets OTC Pink Sheets. One way for companies seeking to list on the OTC Pinks is by engaging in a Reverse Merger (“Reverse Merger”) … Continue reading → [read post]
3 Nov 2013, 3:38 pm by securities-lawyer-101
Securities Lawyer 101  Blog The going public process involves a number of steps that vary depending on the characteristics of the private company wishing to go public, and whether it will become a Securities and Exchange Commission (“SEC”) reporting issuer. … Continue reading → [read post]
14 Jan 2014, 11:35 am by securities-lawyer-101
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 registrations are often used in going public transactions by … Continue reading → [read post]
7 Sep 2013, 3:00 am by securities-lawyer-101
Securities Lawyer 101 Blog Private placement offerings under Rule 506 of Regulation D of the Securities Act of 1933, as amended (the “Securities Act”) are a cost effective and relatively quick way for private companies to raise capital prior to their … Continue reading → [read post]