Capital Markets Law Articles
Legal articles about Capital Markets
written by lawyers to help you understand your rights
Capital Markets - Recent Legal Articles
- Can the U.S. Government Regulate Bitcoin and Other Cryptocurrencies?
If you haven’t heard of Bitcoin by now, you haven’t been paying attention. By Gimbel, Reilly, Guerin & Brown, LLP
- United Nations Convention and its Impact on Contracts for the Sale of Goods
The United Nations conventions and other meetings are in place to ensure uniform and reasonable regulations are in place across several... By HG.org
- Going Public l OTCMarkets OTCQB
Many private companies seeking to go public are opting to list on the OTCMarkets OTCQB. The OTCMarkets Group operates an electronic inter-dealer... By Hamilton & Associates, P.A.
- DTC Chills: A Big Conspiracy or Just Fraud?
The Depository Trust Company (DTC) is the only stock depository in the United States. When DTC provides services as the depository for an... By Hamilton & Associates, P.A.
- Form 10 Registration Statements
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... By Hamilton & Associates, P.A.
- Form 10 Shells l Reverse Mergers
Issuers seeking to raise capital often attempt to go public using a reverse merger with a public shell. Blank check companies that file Form 10... By Hamilton & Associates, P.A.
- Going Public Options for Foreign Companies
Going Public Options for Foreign Companies By Hamilton & Associates, P.A.
- OTCMarkets Disclosure Tiers
Companies who go public can list on national securities exchanges such as NASDAQ, the American Stock Exchange or the New York Stock Exchange.... By Hamilton & Associates, P.A.
- Going Public Question & Answer l Ask Securities Lawyer 101
Going public is a big step for any company. The process of “going public” is complex and at times precarious. While going public offers many... By Hamilton & Associates, P.A.
- Rules of the Road l Uplisting to the OTCMarkets OTC Pink Sheets
The OTCMarkets Group operates an electronic inter-dealer quotation system called OTC Link that broker-dealers use to trade securities not listed... By Hamilton & Associates, P.A.
- Form 211 l Going Public l OTC Pink Sheets
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... By Hamilton & Associates, P.A.
- Rule 144’s Adequate Current Public Information Requirement
Rule 144(c) of the Securities Act of 1933, as amended (the “Securities Act”) requires that stockholders of public companies relying upon Rule... By Hamilton & Associates, P.A.
- Market Makers 101
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... By Hamilton & Associates, P.A.
- Private Placements 101
The Securities Act of 1933 (the “Securities Act”) provides for a private offering or private placement exemption from federal securities... By Hamilton & Associates, P.A.
- Supreme Court Says the Statute of Limitations for SEC Enforcement Actions Is 5 Years
On February 27, 2013, in the case of Gabelli v. Securities and Exchange Commission, the U.S. Supreme Court unanimously concluded that the... By Hamilton & Associates, P.A.
- Bogus State Court Actions Used in $28 million fraud Lead to Indictments
Bogus State Court Actions Used in $28 million fraud Lead to Indictments By Hamilton & Associates, P.A.
- Restricted Securities 101
It has become routine for public companies and private companies seeking to go public to place restrictive legends (“Restrictive Legends” on the... By Hamilton & Associates, P.A.
- JOBS Act: Initial Public Offering “On-Ramp”
The JOBS Act, signed into law on April 5, 2012, is intended to stimulate job creation and economic growth by improving access to the capital... By TroyGould
- JOBS Act: SEC Must Amend Reg D to Permit Advertising for Private Offerings to Accredited Investors
The Jumpstart Our Business Startups Act (JOBS Act) has made several important changes to federal securities laws. One of these changes has been... By TroyGould
- Is $92 Billion a Year in Stock Trading an “Established Public Market”?
In 1964 the SEC published its policy regarding registration of securities without an “established trading market.” From that policy came the... By The Lebrecht Group APLC