Securities Law USA, 10 G Street, NE, Suite 600, Washington, DC
Call Us: (202) 539-8449

Securities Compliance

We assist isuers, directors, officers and investors in complying with federal and state securities law requirements and related requirements, including:

  • Preparation of annual reports on Form 10-K, Form 20-F and Form 40-F; quarterly reports on Form 10-Q; and current reports on Form 8-K and Form 6-K
  • Registering classes of securities under Section 12(b) or 12(g) of the 1934 Act
  • Responding to SEC staff comment letters
  • Applying for listing of securities on national securities exchanges and complying with exchange rules
  • Confirming the availability of exemptions from registration under the 1933 Act for private placements, limited offerings and cross-border offerings pursuant to Regulation D, Regulation S, Rule 144A and other exemptions
  • Preparation of Blue Sky memorandums regarding compliance with state securities law requirements for financings and business combinations
  • Registering public offerings of securities for issuer financings, selling stockholder offerings, employee benefit plans, business acquisitions and business combinations
  • Removing restrictions on resales of securities pursuant to Rule 144 and Rule 904
  • Avoiding Section 16(b) short-swing trading profits liability and filing Section 16(a) reports on Forms 3, 4 and 5
  • Preparation of shareholder beneficial ownership reports on Schedule 13D and Schedule 13G
  • Holding of annual and special stockholder meetings and complying with applicable proxy and information statement requirements
  • Preparing SEC confidential treatment requests
  • Complying with applicable requirements of the Sarbanes-Oxley Act of 2002
  • Organizing and advising audit, compensation, nominating and other board committees
  • Preparation of insider trading policies and Rule 10b5-1 trading plans
  • Preparing SEC no-action and interpretive letter requests
  • Helping clients avoid inadvertent investment company status by complying with private investment company exemptions or otherwise avoiding investment company status
  • Helping clients comply with state and federal investment adviser registration requirements and exemptions from registration