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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?

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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What Happens if You’re Not SEC Compliant?

The Securities and Exchange Commission (SEC) rules and regulations are in place to ensure investors are protected, and markets are fair and efficient. Failure to produce current information can result in a company running afoul of federal securities laws and limit the...

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