30 Years 30 Years in securities law

SEC Law

  • Representation of Public Companies
    • Registration Statements / Initial public offerings under the Securities Act of 1933
    • Continuing / Periodical  reporting requirements under the Securities Exchange Act of 1934 (Forms 10-Q, 10-K, 8-K, Schedules 14A, 14C, etc.)
    • Proxy Statements, Information Statements per Section 14 of the Securities Exchange Act of 1934
    • Ongoing securities law compliance (including Sarbanes-Oxley Act of 2002)
    • Preparation and processing of EDGAR Filings with the SEC
    • Rule 144 opinions
  • EDGAR Filings
    • 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 of securities
  • Reverse Mergers
  • Mergers and Acquisitions
  • Initial Public Offerings (IPO)
  • Form 10 Registrations
  • Form S-1 Registrations
  • Rule 144 Opinions
  • FINRA Form 15c2-11 filings
  • Real Estate Investment Trusts (REITs)
  • Regulatory Defense (SEC Litigation, Florida Dept. of Financial Services and FINRA)

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