Securities

SEC Compliance: Proven Ways to Maximize your Business Sale

SEC Compliance: Proven Ways to Maximize your Business Sale

Securities and Exchange Commission (SEC) regulations are as important as the careful planning when it comes to selling your business. Whether you're contemplating a public offering, operating as a registered entity, or simply aiming for robust corporate governance,...

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What Does a Securities Lawyer Do?

What Does a Securities Lawyer Do?

If you’re an investor or issuer, you should have a skillful securities lawyer by your side. A securities lawyer is an attorney who has specific knowledge and experience in the area of law that concerns the buying, selling and creating of securities. Not only can they...

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What are the Benefits of Filing a Form 8-K?

What are the Benefits of Filing a Form 8-K?

Under the Securities Act of 1934, an issuer – a company that is publically traded – must make certain reports to the Securities and Exchange Commission (“SEC”) on a periodic basis.  An issuer must file a Form 10-K for annual reports, and a Form 10-Q for quarterly...

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What is Regulation S?

Regulation S gives U.S. and non-U.S. companies a way to raise capital for an overseas company while remaining compliant with United States securities law. This regulation is a safe harbor provision that exempts international securities from having to register under...

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