SecuritiesLawUSA, PC is a Southern California-based law firm that provides U.S. securities law representation to:
- U.S. and foreign companies
- Individual directors, officers and investors
- Brokers and investment advisers
- Investment bankers
- Other attorneys and their clients
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, corporate governance counseling, securities exchange listing and compliance, beneficial ownership reports, restricted stock transfers, Section 16 compliance, and securities litigation support, and related 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 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.
Outside U.S. General Counsel: We call upon our network of relationships with U.S. law firms to address the full range of other client needs. We arrange for attorneys from other firms to provide U.S. tax law, labor law, intellectual properly law, corporate law, commercial law and litigation services on an as-needed basis, usually under the umbrella of our firm so clients do not need separate retainer agreements with multiple U.S. law firms. In this way, we provide clients with a single point of contact for all of their U.S. legal needs.
OTCQX Sponsorship: We are also one of a select group of U.S. law firms that are 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 marketplace--the premier tier of the over-the-counter market in the United States.
We invite you to learn more about us, our expertise and our services by reviewing the information on this website.
We also invite you to use the securities law resources that we have made available for you on the SecuritiesLinks and BlueSkyLinks websites. |