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Sponsoring Market Makers Sponsoring Market Makers

By: Brenda Hamilton, Attorney Hamilton & Associates Law Group March 6, 2014   One step in going public transactions is obtaining a stock trading or ticker symbol from theFinancial Industry Regulatory Authority (“FINRA”). For a company to obtain a ticker, a sponsoring market maker must submit an application on Form 211 on the issuer’s behalf to the FINRA. Sponsoring markets makers have become one of the  most important players in the going public process because they are the only ones who can apply for a ticker symbol. Market Maker Registration A ... Read More

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Shelf Registration Statements Shelf Registration Statements

By: Brenda Hamilton, Attorney Hamilton & Associates Law Group February  , 2014   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 issuers registering securities on Form S-1. Private companies seeking public company status can use a Form S-1 shelf registration to register multiple securities offerings at the same time on a single registration statement. In going public ... Read More

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Regulation Crowdfunding Disclosures Regulation Crowdfunding Disclosures

By: Brenda Hamilton, Attorney Hamilton & Associates Law Group February 6, 2014   On October 23, 2013, the Securities and Exchange Commission (the “SEC”) proposed Regulation Crowdfund, setting forth the rules governing the offer and sale of securities through crowdfunded offerings, pursuant to Title III of the Jumpstart Our Business Startups Act (the “JOBS Act”).Within days, FINRA published its proposed rules for the licensing and regulation of  “funding portals.”  The recent SEC and FINRA proposals have spurred an interest in crowdfunded securities offerings.  With equity crowdfunding under the JOBS Act ... Read More

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Equity Credit Lines In Going Public Transactions Equity Credit Lines In Going Public Transactions

By: Brenda Hamilton, Attorney Hamilton & Associates Law Group January 23 , 2014   In going public transactions, issuers consider many capital raising options. One capital raising option is the  Equity Credit Line.  Most equity lines are structured so that the investor enters into an agreement with the Company giving it has the right, during the equity line term and subject to certain conditions, to put its securities to the investor. Equity credit lines are also commonly structured in private placements under Rule 506 with an obligation for the Company to file a ... Read More

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Securities Attorney Brenda Hamilton Securities Attorney Brenda Hamilton

In order to provide a practitioner's perspective on current issues involving the law and going public transactions, Opportunist Magazine discussed the legal requirements and complexities of going public with securities attorney Brenda Hamilton of Hamilton & Associates Securities Law Group in Boca Raton, Florida. Brenda's practice is focused primarily in the areas of securities regulation and compliance, going public transactions, and initial and direct public offerings. The firm is also recognized for its analysis of complex frauds, trading schemes and ... Read More

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Lawmaker Demands DHS Cease Monitoring of Blogs, Social Media Lawmaker Demands DHS Cease Monitoring of Blogs, Social Media

The following is an excerpt from David Kravets | February 16, 2012 | Wired.com | (Picture on Left: Rep. Jackie Speier (D-California) has demanded an end to DHS online monitoring. Photo: Courtesy Rep. Speier ) Rep. Jackie Speier (D-California) said Thursday she wants the Department of Homeland Security to cease its social-media and news-monitoring operation. Speaking at a Homeland Security subcommittee hearing, the California lawmaker said she was “outraged” that the agency has hired a contractor to review a variety of social networking ... Read More

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LinkedIn Swings Back to Profit LinkedIn Swings Back to Profit

The following is an excerpt from Erik Sherman | February 9, 2012 | cbsnews.com | COMMENTARY LinkedIn (LNKD) swung back into the black in the last quarter of 2011, with net income of $6.9 million on revenue of $167.7 million. But while the social networker boasted 105 percent year-over-year growth in sales, which beat Wall Street expectations, its profitability lagged. Although net income at the Internet company, which fell just short of analyst estimates, was up 30 percent from the year-ago ... Read More

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Why Even the Wealthiest 1% Are Fed Up With Wall Street Why Even the Wealthiest 1% Are Fed Up With Wall Street

The following is an excerpt from Laura Rowley | First Published on November 2, 2011 | DailyFinance.com | Like many Americans, Al Checchi is fed up with Wall Street. But the 63-year-old isn't joining the protestors at Occupy Wall Street. Checchi is a multimillionaire. His beef is with the institutions that he chose to manage money for him, assuming the returns they'd achieve would at least keep pace with the broader market averages. That isn't what happened. "I won't name names, but ... Read More

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Do Chamber Meetings Still Beat LinkedIn for Networking? Do Chamber Meetings Still Beat LinkedIn for Networking?

The following is an excerpt from Ivan Misner | December 23, 2011 | Entrepreneur.com | Which types of networking are most successful? A recent survey of 12,000 business people around the world confirmed some of my hunches but produced some surprising results, as well. As part of research for a book, my co-authors and I asked people what types of organizations they belong to and whether networking played a role in their success. We cross-tabulated the results to determine how effective different ... Read More

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$100 Billion for Facebook? Buy This Instead $100 Billion for Facebook? Buy This Instead

The following is an excerpt from Jack Hough | November 30, 2011 | smartmoney.com Large numbers are difficult to conceptualize. The Wall Street Journal reported Monday that Facebook is targeting a spring initial public offering that would value the company at $100 billion. Is that a lot or a little for a website with more than a half billion daily users? One way to make sense of the price investors are paying for a company is to compare it with the thing ... Read More

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