Securities Regulation, Compliance and Filings
The number of regulatory and legal hurdles facing management teams and entrepreneurs who wish to build a business with the eventual goal of going public can seem daunting. Our lawyers help guide companies through the legal and regulatory issues so that they are able to concentrate on operating their businesses.
G&P 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 Nasdaq, NYSE, AMEX, OTCBB, Pink Sheets, etc. are subject to increased disclosure and corporate governance requirements. Our representation of public companies over the years has allowed us to obtain unprecedented knowledge and experience with these requirements and with the SEC registration and reporting requirements. At G&P, we draw on our extensive experience with SEC compliance issues and our numerous dealings with the SEC to minimize the amount and complexity of comments the SEC will make on our registration statements and periodic filings. 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).
Additionally, G&P 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.
Representing Public Companies
G&P 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 G&P provides are:
- Preparing and filing periodic 10-Q and 10-K filings, 8-K filings for extraordinary events and routine and transactional 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-related matters, such as the structuring of domestic and foreign private investment funds, loan restructurings and foreclosures
- Providing basic legal services for public shell companies for a flat monthly maintenance fee.
For More Information
To discuss securities regulation and filings with a lawyer at Gottbetter & Partners, LLP, in New York City, call 866.586.4098 or fill out the
contact form on this Web site.
