Securities Law

  • Representation of Public Companies
    • Initial reporting requirements under the Securities Act of 1933
    • Continuing / Periodical reporting requirements under the Securities Exchantge Act of 1934 (Forms 10-K, 10-KSB, 10-Q, 10-QSB, 8-K, Forms 3,4 and 5, Section 14 Proxy Statements and Information Statements, etc.)
    • Ongoing securities law compliance
    • Edgar Filings
  • EDGAR FILING
    • Preparation of periodic reports of public companies
    • Serving as filing agent for filing of client reports with the SEC on the EDGAR filing system
  • Private Placements
    • Offerings under Section 4(2) of the Securities Act of 1933
    • Offerings under Regulation D (Rules 504-506)
    • Offshore Offerings pursuant to Regulation S
    • Filing of Blue Sky forms with states' securities regulators
  • Opinion Letters pursuant to SEC Rule 144 
  • Reverse Mergers
  • Mergers and Acquisitions
  • Initial Public Offerings (IPO)
    • Registration Statements on Forms SB-1 and SB-2
    • Registration Statements on Form S-1
  • Form 10 and Form 10SB Registrations
  • SB-2 Public Offerings
    • New capital raises
    • Selling shareholder prospectuses
  • FINRA Form 15c2-11
    • Representation of Issuers and coordination with broker-dealers in Form 211 application process with FINRA
  • Real Estate Investment Trusts (REIT’s)
  • SEC Litigation
    • Representation of issuers and their officers and directors in formal and informal SEC investigations
    • Preparation and submission of Wells Submissions

 Telephone:  (727) 471-0444   Facsimile:  (727) 471-0447