Skip links

Securities Law

Securities Law

  • Private placements including the application of federal and state blue-sky law exemptions
  • SEC Reporting for public companies
  • Primary, secondary, and follow-on offerings
  • JOBS Act compliance
  • SEC periodic 1934 Act reporting (Forms 10-K, 10-Q, 8-K, Section 16, and Section 13 filings)
  • Proxy statements and solicitations
  • Sarbanes-Oxley and Dodd-Frank compliance
  • Audit committee representation
  • Board of directors and board committee advice
  • Going private or going dark transactions


We provide legal advice regarding all types of business matters – contracts, regulatory measures, taxation, and corporate finance. This includes drafting and reviewing contracts, developing diverse corporate procedures, helping manage budgets, advising officers and directors, ensuring regulatory compliance, drafting codes of conduct, and facilitating corporate transactions and mergers.


Designed to protect investors and allow businesses to meet their capital needs, securities laws exist because of unique statutory requirements and informational needs. State and federal agencies vary in their rules and regulations. We balance the needs of businesses and the requirements of the securities laws.