Securities Transactions Securities Compliance Reporting

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