With securities regulations constantly changing and becoming increasingly more daunting, it is important to work with a firm that is in tune with the ever-evolving environment.  We have significant experience in assisting our clients in successfully understanding and fulfilling all SEC filing requirements and responsibilities as well as the legal requirements necessary to trade on various securities markets.  Some of the items we offer guidance in are:

  • SEC Filings
  • Registration Statements
  • Private Placement Memorandums
  • Information Statement and Proxy Filings
  • Rule 144 Opinions
  • Uplistings, Initial Listings and related NYSE Exchange and NASDAQ requirements
  • Public Offerings, both initial and secondary

We can also assist Issuers with preparing No Action requests to the Securities and Exchange Commission and different state Securities Boards.