Shows / Inside Securities Law with Frederick M. Lehrer
Inside Securities Law with Frederick M. Lehrer
The Enforcement Mind with Frederick M. Lehrer is a securities law podcast built around one core advantage: perspective from inside the system. Before entering private practice, Frederick M. Lehrer served as an enforcement attorney with the U.S. Securities and Exchange Commission and as a Special Assistant United States Attorney, investigating and prosecuting securities law violations. This show translates that experience into how the SEC actually reviews disclosures, identifies risk, and…
Episodes
- Inside Securities Law with Frederick M. Lehrer
Foreign Private Issuer Status: The Two-Part Test That Determines U.S. Securities Reporting Obligations
Foreign Private Issuer Status: The Two-Part Test That Determines U.S. Securities Reporting Obligations Inside Securities Law with Frederick M. Lehrer For…
- Inside Securities Law with Frederick M. Lehrer
Rule 144 Explained: When Can You Legally Sell Restricted Stock?
Rule 144 Explained: When Can You Legally Sell Restricted Stock? Episode Show Notes Owning shares in a company doesn't necessarily mean you can sell them…
- Inside Securities Law with Frederick M. Lehrer
Restricted Shares, Rule 144, and Legal Opinion Letters: When Can You Sell Your Stock?
Restricted Shares, Rule 144, and Legal Opinion Letters: When Can You Sell Your Stock? Guest: Frederick M. Lehrer, Securities Attorney Host: Jason AI Wade | AI…
- Inside Securities Law with Frederick M. Lehrer
Toxic Convertible Notes: How Death-Spiral Financing Destroys Shareholder Value
Toxic Convertible Notes: How Death-Spiral Financing Destroys Shareholder Value Inside Securities Law with Frederick M. Lehrer Episode Show Notes For small…
- Inside Securities Law with Frederick M. Lehrer
The Other Side of the Table — Chapter 3: When Optimism Becomes a Misstatement | Frederick M. Lehrer
In this episode of Inside Securities Law with Frederick M. Lehrer, Fred continues The Other Side of the Table with Chapter 3 of his book, examining the line…
- Inside Securities Law with Frederick M. Lehrer
Regulation FD Explained: What Public Companies Can Say Outside SEC Filings | Frederick M. Lehrer
Regulation FD Explained: What Public Companies Can Say Outside SEC Filings | Frederick M. Lehrer Series: Inside Securities Law with Frederick M. Lehrer What…
- Inside Securities Law with Frederick M. Lehrer
The Other Side of the Table — Chapter 2: Reading a Filing the Way the Staff Reads It | Inside Securities Law with Frederick M. Lehrer
The Other Side of the Table — Chapter 2: Reading a Filing the Way the Staff Reads It | Inside Securities Law with Frederick M. Lehrer NOTES A disclosure can be…
- Inside Securities Law with Frederick M. Lehrer
The Other Side of the Table — Part One: How the Commission Reads, Chapter 1
Before the Securities and Exchange Commission (SEC) applies a rule, its enforcement staff examines the record. What did a company disclose? What did its…
- Inside Securities Law with Frederick M. Lehrer
The Call That Didn't Happen
Notes: The Call That Didn't Happen Topic: Securities Enforcement, Disclosure & Preventable Legal Mistakes Opening premise: Nearly every securities enforcement…
- Inside Securities Law with Frederick M. Lehrer
Mergers & Acquisitions: From the First Conversation to the Final SEC Filing
Mergers & Acquisitions: From the First Conversation to the Final SEC Filing Inside Securities Law with Frederick M. Lehrer A merger or acquisition is more than…
- Inside Securities Law with Frederick M. Lehrer
The Other Side of the Table — Full Audiobook | Frederick M. Lehrer
The Other Side of the Table — Full Audiobook | Frederick M. Lehrer Before the SEC asks questions, a company has already created the record: its filings, press…
- Inside Securities Law with Frederick M. Lehrer
The Call That Didn’t Happen | The Other Side of the Table — Introduction
The Call That Didn’t Happen | The Other Side of the Table — Introduction Before a subpoena, an investigation, or a costly disclosure failure, there is often a…
- Inside Securities Law with Frederick M. Lehrer
Regulation A-Plus: What the Mini-IPO Actually Costs You
Regulation A-plus gets described as a mini-IPO. That is fair shorthand, and like most shorthand it leaves out the part that matters. Here is the structure…
- Inside Securities Law with Frederick M. Lehrer
The Five Roads to Public Company Status
There is no single way to become a public company. There are five, and choosing the wrong one costs a company a year and a great deal of money. The first is…
- Inside Securities Law with Frederick M. Lehrer
Reverse Mergers: Speed, and the Shell You Inherit
A reverse merger is the fastest way to become a public company. The reason it is fast is that someone else already did the work. That is also the reason it is…
- Inside Securities Law with Frederick M. Lehrer
OTC Markets and Form 211: How a Ticker Actually Happens
Becoming a reporting company and having a stock that trades are two different things. Companies conflate them constantly. SEC registration makes you a…
- Inside Securities Law with Frederick M. Lehrer
Why I Bill a Flat Fee
I want to spend this episode on something that is not a rule or a form. How legal work gets priced, and why I do it the way I do. I bill flat fees. For a…
- Inside Securities Law with Frederick M. Lehrer
Rule 506(b) and 506(c): The Line You Cannot Uncross
Rule 506 of Regulation D is the most used exemption in American capital formation and the most frequently broken. Most of the breakage happens at one line…
- Inside Securities Law with Frederick M. Lehrer
Forms 3, 4, and 5, and the Short-Swing Trap
Section 16 of the Exchange Act applies to three groups of people at a public company: officers, directors, and anyone who beneficially owns more than ten…
- Inside Securities Law with Frederick M. Lehrer
Blue Sky: The Fifty Regulators Behind the One You Are Watching
Federal securities law gets the attention. State securities law — Blue Sky law — is where a surprising number of offerings actually go wrong, because issuers…
- Inside Securities Law with Frederick M. Lehrer
The Reporting Calendar: 10-K, 10-Q, and the Four-Day 8-K
The day your registration statement goes effective, a clock starts, and it does not stop. This is the part of going public that founders underestimate most…
- Inside Securities Law with Frederick M. Lehrer
Going Public Is the Beginning: What Happens After SEC Effectiveness
Going Public Is the Beginning: What Happens After SEC Effectiveness Becoming public is often treated as the finish line. In reality, SEC effectiveness and the…
- Inside Securities Law with Frederick M. Lehrer
The Real Risk of Overpromising in a Securities Offering
Companies raising capital have every reason to explain their strengths, market opportunities, management experience, and growth potential. The legal risk…
- Inside Securities Law with Frederick M. Lehrer
Why SEC Comment Letters Are Not Just Editing Requests
An SEC comment letter may look like a list of technical revisions. It is better understood as a regulatory examination of whether a company has explained its…
- Inside Securities Law with Frederick M. Lehrer
Finders, Consultants, and the Unregistered Broker-Dealer Problem
Finders, Consultants, and the Unregistered Broker-Dealer Problem Companies raising capital often hire “finders,” consultants, advisors, or business-development…
- Inside Securities Law with Frederick M. Lehrer
What Investors Should Be Told About the Use of Proceeds
The “Use of Proceeds” section is one of the most important—and most frequently overlooked—parts of a securities offering. It tells investors exactly how a…
- Inside Securities Law with Frederick M. Lehrer
Regulation A Is a Securities Offering—Not a Crowdfunding Shortcut
Regulation A Is a Securities Offering—Not a Crowdfunding Shortcut Regulation A is often promoted as a simpler way for companies to raise capital from the…
- Inside Securities Law with Frederick M. Lehrer
Private Placements: Where Issuers Actually Get Caught
Private Placements: Where Issuers Actually Get Caught The phrase “private placement” can create a dangerous misunderstanding. Private does not mean informal…
- Inside Securities Law with Frederick M. Lehrer
Finders, Consultants, and the Unregistered Broker-Dealer Problem
Finders, Consultants, and the Unregistered Broker-Dealer Problem Companies raising capital often hire “finders,” consultants, advisors, or business-development…
- Inside Securities Law with Frederick M. Lehrer
The Future Is Being Built in Orlando: Reflections from Launchpad Liftoff
EVENT HOST: BEYOND ORLANDO TECH For sponsorships, partnerships, speaking opportunities, media inquiries, or startup ecosystem collaboration, I’d contact: Safia…
- Inside Securities Law with Frederick M. Lehrer
The Hidden Compliance Risk: How SEC Disclosure Language Shapes Scrutiny
Fred Lehrer - SecuritiesAttorney1.com What companies say matters. How they say it matters just as much. In this episode, Fred explores why language…
- Inside Securities Law with Frederick M. Lehrer
Going Public Is Not a Moment. It Is a Permanent Disclosure System.
Going public is often treated as a milestone: the moment a private company enters the public markets. But from a securities law and compliance perspective, it…
Inside Securities Law with Frederick M. LehrerWhy SEC Comment Letters Are Not Isolated Events
When a company receives an SEC comment letter, the common mistake is treating it like a contained problem: answer the question, resolve the issue, move on. But…
Inside Securities Law with Frederick M. LehrerWhat Really Triggers SEC Scrutiny: Friction, Inconsistency, and Ambiguity in Disclosures
What Really Triggers SEC Scrutiny: Friction, Inconsistency, and Ambiguity in Disclosures The script explains that SEC scrutiny rarely starts with an obvious…