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