Securities Law Blog

Welcome to our Securities Law Blog. The 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

The Corporate Securities Legal LLP is a boutique corporate and securities law firm with offices in New York City and Irvine, 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

How Does My OTC Company Graduate to the NYSE-MKT?

When a company (the “Company“) is considering submitting a listing application to list its common [...]

How Does My OTC Company Graduate to the NYSE-MKT?

When a company (the “Company“) is considering submitting a listing application to list its common [...]

Rule 15c2-11 and Interdealer Quotation Systems: Filing Form 211

Publishing Quotations of Securities in Interdealer Quotation Systems: Requirements for Brokers and Dealers Brokers and dealers [...]

Rule 15c2-11 and Interdealer Quotation Systems: Filing Form 211

Publishing Quotations of Securities in Interdealer Quotation Systems: Requirements for Brokers and Dealers Brokers and dealers [...]

Rule 15c2-11 and Interdealer Quotation Systems: Filing Form 211

Publishing Quotations of Securities in Interdealer Quotation Systems: Requirements for Brokers and Dealers Brokers and dealers [...]

How Does a Public Company Change its Fiscal Year-End?

How a Public Company Changes its Fiscal Year Are you thinking of changing your fiscal [...]

How Does a Public Company Change its Fiscal Year-End?

How a Public Company Changes its Fiscal Year Are you thinking of changing your fiscal [...]

How Does a Public Company Change its Fiscal Year-End?

How a Public Company Changes its Fiscal Year Are you thinking of changing your fiscal [...]

SEC Commissioner Luis Aguilar Discusses Small Business Capital Formation

The Continuing Work of Enhancing Small Business Capital Formation Commissioner Luis A. Aguilar Public Statement [...]

SEC Commissioner Luis Aguilar Discusses Small Business Capital Formation

The Continuing Work of Enhancing Small Business Capital Formation Commissioner Luis A. Aguilar Public Statement [...]