Our firm’s securities practice includes:
- Securities and Exchange Commission Compliance, including Securities Exchange Act of 1934 Periodic Reporting on Forms 10-K, 10-Q and 8-K
- Public Offerings, including IPO’s
- Private Placements including Regulation D Offerings
- Secondary Offerings, including Public and Private Sales by Insiders and Control Persons
- Off-Shore Financings, including Regulation S Offerings
- Mergers, Acquisitions and Proxy Solicitations
- Debt Financing and Restructuring
- Insider Trading Counseling, including reporting on Forms 3 and 4
- Reverse Mergers involving Public Shells
- Rule 144 Sales
- Federal Securities Law Regulation and Compliance
- Credit Enhancement for Municipal Bonds and other Offerings throughout the Country
- Securitizations and Asset Backed Financing Structures
- State “Blue Sky” Securities Compliance
- Investment Company Formation and Compliance, including both Open and Closed End Mutual Funds
- Investor Adviser Act Formations, Compliance and Maintenance
