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

What is General Solicitation when Selling and Marketing Securities?

General Solicitation is the act of marketing a capital raise publicly. Rule 506(b) of Regulation [...]

06
May
SEC Charges Two Advisory Firms with Mutual Fund Share Class Disclosure Violations

SOn December 21, 2018, the Securities and Exchange Commission (“SEC”)announced settled charges against New York-based [...]

02
May
SEC Charges Two Celebrities with Unlawfully Touting Initial Coin Offerings

On November 29, 2018, the Securities and Exchange Commission (“SEC”) charged two celebrities with unlawfully [...]

29
Apr
What is a general solicitation?
April 22, 2019

General Solicitation is the act of marketing a capital raise publicly. Rule 506(b) of Regulation [...]

What is an “exemption from registration?”
April 18, 2019

Regulation D’s Rule 504 and Rule 506 grant exemptions from registration if different requirements are [...]

Part 1: What is an Opportunity Zone Fund?
April 15, 2019

The 2017 Tax Cuts and Jobs Act established a section of the tax code that [...]

Opportunity Zone Funds
April 11, 2019

Part 1: What is an Opportunity Zone? The 2017 Tax Cuts and Jobs Act established [...]

Is posting a PPM online behind a password protected website count as a general solicitation? Twist: Does it matter if unaccredited investors can obtain a password and register for such a website?
April 8, 2019

Preparing a Private Placement Memorandum(PPM) that provides full and fair disclosure of the material aspects [...]

Primary and Secondary Markets
April 4, 2019

There are two different settings in which securities transactions occur. The first, the seller of [...]

What Happens if I Receive an SEC Subpoena?
April 2, 2019

What to do When You Are Flagged by the SEC and Receive an SEC Subpoena [...]