SecuritiesLawUSA, PC is a law firm with offices in Southern California and Washington, D.C. that provides U.S. securities law representation to:
U.S. Securities Counsel: We assist our clients with registered public offerings, exempt private offerings, 1934 Act periodic reports and proxy statements, going public and going private transactions, mergers and acquisitions, tender offers/takeover bids, corporate governance counseling, securities exchange listing and compliance, beneficial ownership reports, restricted stock transfers, Section 16 compliance, and securities litigation support, and related securities, corporate and commercial law services.
Cross-Border Expertise: We work with Canadian and other foreign issuers and their agents and underwriters in making private offerings to U.S. investors pursuant to Rule 506 of Regulation D and Rule 144A, while ensuring that securities sold to investors outside of the United States comply with Rule 903 of Regulation S. We also help ensure that cross-border mergers and acquisitions and takeover bids comply with U.S. securities law exemptions. We help foreign issuers with their SEC periodic reporting requirements and in listing their securities on a U.S. exchange or developing an active OTC trading market in the United States. We have worked with many Canadian law firms on matters involving their clients, including:
OTCQX Sponsorship: We are also one of a select group of U.S. law firms qualified to serve as the OTCQX Principal American Liaison (PAL) or Designated Adviser for Disclosure (DAD) for companies that qualify to have their securities traded in the OTCQX platform–the premier tier of the over-the-counter market in the United States. We serve as the PAL sponsor for the following companies:
The first company that we helped qualify to trade on OTCQX, Alderon Iron Ore Corp., used OTCQX as a stepping stone to prepare for listing on a U.S. national securities exchange. Alderon’s shares were listed on NYSE Amex (AXX) on March 9, 2012.
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