The number of regulatory and legal hurdles facing entrepreneurs who wish to build a business with the eventual goal of going public can seem daunting. The Law Office helps guide companies through the legal and regulatory. The Law Office has significant expertise in drafting, filing and obtaining effective SEC registration statements and counseling clients on SEC compliance issues, including the Sarbanes-Oxley Act of 2002 and the 1934 Exchange Act periodic reporting obligations.  With the introduction of the Sarbanes-Oxley Act of 2002, public companies with securities traded on the Nasdaq, the NYSE, the AMEX, the OTCBB, or on Pink Sheets, are subject to increased disclosure and corporate governance requirements.

Our representation of public companies over the years has allowed us to obtain knowledge and experience with these requirements and with the SEC registration and reporting requirements. Our experience also allows us to effectively counsel companies on compliance with state Blue Sky laws and other securities law issues such as reorganizations, recapitalizations, board of director and shareholder issues, and employee stock option plans (ESOPs).

The Law Office also represents issuers in assisting FINRA registered broker/dealers in the Form 211 process to obtain stock quotations on the Over the Counter Bulletin Board (OTCBB) and Pink Sheets, and with national exchange listing applications and regulations for Nasdaq, NYSE and AMEX.

• Public
• Private Securities Overview
• Private Securities Services 
• We are client oriented, client focused, innovative and individualized

The Law Office counsels and represents public companies and their shareholders, directors and officers in connection with a wide range of federal and state securities regulation matters, including securities filings, public offerings, private placements of securities, and mergers and acquisitions, including "going public" transactions.

Among the services the Law Office provides are:

• Preparing and filing periodic 10-Q and 10-K filings, 8-K filings, proxy and information statements 
• Preparing and filing Form 10 registration statements which a non-reporting company files to become a reporting company with the SEC 
• Preparing and filing Nasdaq, NYSE and AMEX listing applications 
• Preparing Form 211 required for a client's stock to be quoted on the OTC Bulletin Board or Pink Sheets 
• Advising on 10b-5 stock plans and preparing Section 13 and Section 16 filings 
• Structuring employee stock option plans, including Form S-8 registration statements 
• Monitoring of financial public relations which includes the drafting and reviewing of press releases and ensuring their distribution through the appropriate news service and/or public relations firm 
• Advising clients on a variety of other securities and corporate related matters
• Representing public companies