Securities Compliance
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Navigating the complex and ever-changing network of securities regulation often leads small cap and micro companies to struggle with securities compliance. The Firm provides invaluable assistance to companies whose main focus should be on the expansion and success of their business rather than regulations riddled with complexities that can be intimidating to any individual. The Firm removes the burden of securities compliance by understanding, and implementing procedures to comply with: Federal securities laws, State “Blue Sky” securities laws, Reporting obligations, Securities and Exchange Commission (“SEC”) filings and disclosures. The importance of proper securities compliance cannot be underestimated, because noncompliance has a devastating effect on the well being of the company.

The Securities and Exchange Commission mainly sets federal regulations and securities laws. The purpose of these regulations is to create an open, competitive market while protecting market users and their capital from fraud and deceptive practices. Compliance with the rules set forth by these federal regulatory agencies is vital not only to a transparent, honest market, but the rules also allow your company to run free from fear of government sanctions. In addition to these federal rules, companies must be aware of state “Blue Sky” securities laws. These “Blue Sky Laws” require companies making offerings of securities to register within that particular state before the securities can be sold. Registration and compliance with these state rules allow a company to operate safely and efficiently within that state.

Securities Compliance goes beyond the regulations of federal agencies and state laws. Companies must also be aware of the rules set forth by securities self-regulatory organizations such as FINRA. These independent regulators oversee all publicly traded companies. FINRA requires complete disclosure about the investment product before purchase, and requires anyone who sells a securities product must be tested, qualified and licensed. FINRA governs certain aspects of public offerings, filing and registration under FINRA’s Corporate Financing Rules.

The Firm helps clients understand these various agencies and their purpose, but more importantly focuses our energy on making sure companies are up to date with their filings, and complies with any applicable regulation. We understand the regulatory requirements of being a public company are burdensome, and we work to lighten the load.