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 Charges Promoter with Penny Stock Market Manipulation Scheme
April 1, 2019

The Securities and Exchange Commission (“SEC”) charged a public company promoter and his company with [...]

Repurchase Offers Summary
March 28, 2019

Alexis King On February 14, 1975, Commissioner of Corporations of the State of California, Willie [...]

Rescission Offers
March 25, 2019

Alexis King A rescission offer takes place when an issuer offers to repurchase an investor’s [...]

Stock as Security
March 21, 2019

Under the securities definition stock is included as a security “unless the context otherwise requires” [...]

SEC Charges Two Robo-Advisers with False Disclosure
March 18, 2019

On December 21, the SEC instituted its first enforcement actions against robo-advisers when they issued [...]

OPPORTUNITY FUNDS: A HUGE BENEFIT TO ALL AMERICANS
March 6, 2019

OPPORTUNITY FUNDS: A HUGE BENEFIT TO ALL AMERICANS There is an estimated $6.1 trillion of [...]

What is the Securities Act of 1933?
February 27, 2019

Drafted by Commissioner Huston Thompson of the Federal Trade Commission (FTC), this was the first [...]

Public Companies on OTC Markets can now Report with Regulation A+ Disclosure Regime
February 21, 2019

Regulation A+ Offers Reporting Companies an Attractive Way to Raise Capital By Christopher A. Wilson [...]

Entrepreneurs! How to Protect Your Intellectual Property:
February 21, 2019

If you are thinking of starting a business, you probably have some good ideas about [...]

Will Your Company’s Initial Public Offering be Successful?
February 15, 2019

Will Your Company’s Initial Public Offering be Successful? When the time comes to take your [...]