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 a General Solicitation?
December 31, 2018

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

Private Placement Memorandum for Friends and Family?
December 27, 2018

Do you need a private placement memorandum for a friends and family capital raise? At [...]

Suspended Trading in Securities of Nevada-Based American Retail Group, Inc.
December 24, 2018

The Securities and Exchange Commission suspended trading in the securities of Nevada-based American Retail Group, [...]

Advantages of Raising Capital with a PPM
December 21, 2018

Advantages of Raising Capital with a PPM There are three main reasons to provide potential [...]

What is an Exemption from Registration
December 3, 2018

What is an “exemption from registration?” Regulation D’s Rule 504 and Rule 506 grant exemptions [...]

Is the Securities and Exchange Commission Helping or Harming Cryptocurrency Entrepreneurs?
November 30, 2018

Is the Securities and Exchange Commission Helping or Harming Cryptocurrency Entrepreneurs? Hester M. Pierce. Commissioner [...]

SEC Charges Two Celebrities with Unlawfully Touting Initial Coin Offerings
November 30, 2018

SEC Charges Two Celebrities with Unlawfully Touting Initial Coin Offerings On November 29, 2018, the [...]

SEC Charges Promoter with Penny Stock Market Manipulation Scheme
November 28, 2018

SEC Charges Promoter with Penny Stock Market Manipulation Scheme The Securities and Exchange Commission (“SEC”) [...]

SEC Forces Initial Coin Offering Issuers to Register Tokens as Securities
November 27, 2018

SEC Forces Initial Coin Offering Issuers to Register Tokens as Securities The Securities and Exchange [...]

Spotify: The First Direct Public Offering to the NYSE
July 16, 2018

Spotify, the giant music streaming service from Sweden, began public trading its shares on the [...]