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NASDAQ Imposes More Rules Impacting Reverse Mergers l Securities Lawyer 101 l...

On July 9, 2011, the Securities and Exchange Commission (“SEC”) approved rules to increase the standards for companies going public through a reverse merger to list on the New York Stock Exchange...

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Form 8K Reporting Of Reverse Mergers l Securities Lawyer 101

The  Securities and Exchange Commission (“SEC”), Division of Corporate Finance  frequently notes disclosure deficiences in the disclosure of reverse merger transactions in on 8-K Filed. This post...

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FINRA Rule 6490 l Reverse Mergers l Securities Lawyer 101

  FINRA Rule 6490, recently enacted in September 2010, requires issuers of securities not listed on exchanges to provide timely notice to FINRA of certain corporate actions including reverse mergers....

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New Listing Criteria l NASDAQ l Reverse Mergers l Securities Lawyer 101- Go...

On November 9, 2011, the U.S. Securities and Exchange Commission (the “SEC”) approved new rules proposed by the New York Stock Exchange (“NYSE”), NYSE  Amex  (“Amex”)  and    NASDAQ Stock Market...

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SEC Suspends 379 Companies In Largest Massive Trading Suspension in SEC History

On May 14, 2012, the Securities and Exchange Commission suspended trading in the securities of 379 dormant companies. The SEC’s press release explained that the  suspensions were necessary to prevent...

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SEC Trading Suspensions 101 l Securities Lawyer 101 l Go Public Blog

By: Brenda Hamilton – Hamilton & Associates Securities Lawyers Over a year ago, the Securities and Exchange Commission (“SEC”) in an initiative known as Operation Shell-Expel, the Securities and...

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The SEC Issues Investor Bulletin About Reverse Merger Risks

On June 9, 2011, the Securities and Exchange Commission (the “SEC”) issued an Investor Bulletin (the “Bulletin”) cautioning the public about risks associated with issuers that enter U.S. markets...

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FINRA Rule 6490 – Securities Lawyer 101- Go Public Blog

Significant changes to FINRA Rule 6490 were enacted in September 2010. Though FINRA’s principal mandate is to regulate broker-dealers, historically it has always exercised some oversight of the...

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Dead Stock Walking | Reverse Merger & Corporate Hijackings | SEC Revocations...

In recent years, the SEC has revoked the registration of the common stock of numerous publicly traded companies.  These SEC enforcement proceedings were brought under Section 12(j) of the Securities...

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OTC Pink Sheets l Rule 15c2-11 l Going Public Attorney

Private companies seeking to go public are opting to list on the OTCMarkets OTC Pink Current tier.  Companies seeking to public company status can list on the OTC Pink Current tier without filing a...

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Reverse Stock Splits 101

What is a reverse stock split? A reverse stock split is a way for a company to reduce its outstanding securities.  Reverse stock splits are often used by public companies, but they can also be used by...

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Form 10 Shells l Reverse Mergers l Securities Lawyer 101

Securities Lawyer 101 Blog Form 10 Shells are rarely a good solution or cost effective method for a private company to obtain public company status. Most Form 10 Shells are not structured properly for...

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SEC Trading Suspensions

Securities Lawyer 101 Blog The Securities Exchange Act of 1934 authorizes the Securities and Exchange Commission (the “SEC”) to issue a trading suspension for up to ten business days. The SEC will...

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How FINRA Rule 6490 lmpacts Reverse Mergers

Posted by Brenda Hamilton, Securities Attorney Securities Lawyer 101 Blog FINRA Rule 6490, has evolved since it was enacted over two years ago. For some time, FINRA has required that issuers provide...

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