Securities Law Blog

Welcome to our Securities Law Blog. Corporate Securities Legal LLP focuses on all aspects of the issuance of securities and the practice of securities law and periodic reporting required by the Securities & Exchange Commission.

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The Securities Law Blog focuses on many topics, including:

  • Taking Your Company Public
  • Drafting Form 10, S-1, S-3, and S-8 Registration Statements
  • Conducting Reverse Mergers
  • Structuring Registered Public Offerings
  • Maintaining Compliance with the Over-the-Counter Markets such as OTCBB, OTCQB and OTCQX
  • Maintaining Compliance with NASDAQ, and the New York Stock Exchange
  • Maintaining Compliance with FINRA, the SEC and DTC
  • Drafting Private Placement Memoranda
  • Fulfilling the Reporting Requirements of the Securities & Exchange Commission (SEC)
  • 1934 Act Reporting Requirements
  • Satisfying the Current Information Reporting Requirements of OTCMarkets.com
  • Operating as Ongoing public companies to Small and Mid-Size Public Issuers, Private Companies Going Public, Officers, Directors and Shareholders of Publicly-Traded Companies
  • Public companies going private
  • Title III Crowdfunding
  • Regulation D private placements
  • Mergers & Acquisitions
About Us

Unrivaled Knowledge and Expertise for Your Business Needs

Corporate Securities Legal LLP is a boutique corporate and securities law firm with offices in New York City and Southern California. Our experience in working with small to mid-size publicly traded companies is only exceeded by our ability to adapt. As the economic and regulatory landscape changes, we do as well. Our securities law firm is constantly evolving in order to stay abreast of regulatory changes and trends in the industry. The corporate finance landscape is perpetually changing and our securities attorneys adapt just as quickly. We provide our valued clientele with the most cutting edge corporate legal services at all times.

As a business law firm, we devote our practice to providing quality, efficient and cost-effective services for both entrepreneurs and startups as well as established companies. Our legal team is well-versed in all aspects of business formation and transactions, including mergers and acquisitions and venture capital transactions. We also provide guidance on the complex application of securities law and regulatory compliance. This Securities Law Blog is updated with posts by our attorneys and staff highlighting changes in the area of Securities Law.  Keep an eye on our securities law blog to stay up to date!

Blog Posts

SEC Proposes to Expand the Definition of an Accredited Investor

How is the definition of an accredited investor being expanded? The proposed rule will amend [...]

06
Jan
The Removal of Restrictive Legends from Stock Certificates: How to Comply with Rule 144 as a Non-affiliate

How to Comply with Rule 144 as a Non-Affiliate What is Rule 144? Rule 144 [...]

03
Jan
Mergers and Acquisitions – What it Means to Your Business

Mergers and Acquisitions Explained Mergers and acquisitions are an integral part of how industries are [...]

03
Sep
SEC Charges Repeat Securities Law Violator

August 13, 2019 The Securities and Exchange Commission (“SEC”) charged Antonio Bravata, a repeat securities [...]

13
Aug
Materiality and the “Substantial Likelihood Test”

Materiality in is a type of fraud, because it uses informational defects to evade a [...]

27
May
EXPERT HELP FOR YOUR PRIVATE PLACEMENT

We recently posted about the advantages of a Private Placement Memorandum (ppm), and the necessity [...]

23
May
Functions of Securities Markets

Capital Formation, Liquidity, and Risk Management The three basic functions of securities markets are: capital [...]

20
May
DON’T IGNORE THE IMPORTANCE OF TERM SHEETS

According to Forbes, “The term sheet is one of the most critical documents an entrepreneur [...]

16
May
IS INVESTING SAFE DURING THE GOVERNMENT SHUTDOWN?

On Thursday, December 27, 2018 the Securities and Exchange Commissionbegan operation within its plan during [...]

13
May
Jobs Act of 2012

The JOBS (Jumpstart Our Business Startups) Act of 2012, is an amendment to both the [...]

09
May