Representative Securities Law Services

Raising capital and other securities offerings related to the Securities Act of 1933, as amended, including preparation of:

  • Form S-1 Registration Statements
  • Form S-3 Registration Statements
  • Form S-4 Registration Statements
  • Form S-8 Registration Statements
  • Form S-11 Registration Statements
  • Form 1-A – Regulation A Offering Statements
  • Form D – Notice of Exempt Offering of Securities
  • Private Placement Offering Documents – Rule 506 and Rule 504
  • Equity Lines and Credit Facilities
  • PIPE (Private Investment in Public Equity) Transactions

Compliance related to the Reporting Requirements of the Securities Exchange Act of 1934, as amended, including preparation of:

  • Annual Reports on Form 10-K
  • Quarterly Reports on Form 10-Q
  • Current Reports on Form 8-K
  • Proxy Statements on Schedule 14A
  • Information Statements on Schedule 14C
  • Section 16 insider filings, including Forms 3, 4, and 5 for officers, directors, and affiliate shareholders
  • Schedules 13D and 13G for significant shareholders
  • Registration Statements on Form 10

Other services, including:

  • Counseling management and boards of directors relating to their responsibilities under the securities laws and exchange listing rules
  • Counseling Angel Investors and High Net Worth Individuals relating to their investments and potential investments
  • Securities exchange uplisting
  • FINRA compliance
  • Preparation of 15c2-11 Applications
  • Issuing Rule 144 Opinion Letters and other types of opinion letters
  • Reviewing Press Releases

Representative Corporate and Business Law Services

Our corporate and business law practice includes:

  • Preparing merger, acquisition and spin-out transaction documents
  • Preparing sale of business and assets sale transaction documents
  • Preparing joint venture transaction documents
  • Counseling management and members of boards of directors regarding corporate governance and their responsibilities under state law
  • Preparing board of directors and directors committee charters, board minutes and other board materials
  • Counseling management regarding various employee issues
  • Preparing employee agreements, consulting/independent contractor agreements, equity incentive plans, stock option agreements, termination agreements and other related agreements
  • Negotiating and preparing a variety of commercial contracts, including general business agreements, licensing agreements, distribution agreements, non-disclosure agreements, lease agreements etc.
  • Preparing entity formation and related documents, including operating agreements, shareholder agreements and partnership agreements

Contact Us

If you are interested in our firm representing you or your company, or if you would like additional information about our firm, please contact us today.

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