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

Jane Norberg Named Chief of SEC Whistleblower Office

FOR IMMEDIATE RELEASE 2016-201 Washington D.C., Sept. 28, 2016 — The Securities and Exchange Commission [...]

21
Oct
SEC Announces Agenda for October 5 Meeting of the Advisory Committee on Small and Emerging Companies

FOR IMMEDIATE RELEASE 2016-202 Washington D.C., Sept. 29, 2016 — The Securities and Exchange Commission [...]

13
Oct
SEC: Casino-Gaming Company Retaliated Against Whistleblower

FOR IMMEDIATE RELEASE 2016-204 Washington D.C., Sept. 29, 2016 — The Securities and Exchange Commission [...]

01
Oct
Fee Rate Advisory #2 for Fiscal Year 2017

FOR IMMEDIATE RELEASE 2016-206 Washington D.C., Sept. 30, 2016 — When fiscal year 2017 starts [...]

29
Sep
Credit Suisse Paying $90 Million Penalty for Misrepresenting Performance Metric

FOR IMMEDIATE RELEASE 2016-210 Washington D.C., Oct. 5, 2016 — The Securities and Exchange Commission [...]

21
Sep
David Saltiel Named to Head Office of Analytics and Research in the Division of Trading and Markets

FOR IMMEDIATE RELEASE 2016-211 Washington D.C., Oct. 6, 2016 — The Securities and Exchange Commission [...]

12
Sep
Securities Regulation in the Interconnected, Global Marketplace

Chair Mary Jo White Sept. 21, 2016 Keynote Remarks Legal Practice Division Luncheon International Bar [...]

03
Sep
Company to Pay Penalty for Stock Picking Game That Was An Unregistered Swap

FOR IMMEDIATE RELEASE 2016-216 Washington D.C., Oct. 13, 2016 —The Securities and Exchange Commission today [...]

25
Aug
Remarks at the National Society of Compliance Professionals 2016 National Conference

Andrew J. Donohue, Chief of Staff Washington, D.C. Oct. 19, 2016 Thank you for that very [...]

16
Aug
SEC Charges Bank Leumi With Conducting Unregistered U.S. Cross-Border Business

FOR IMMEDIATE RELEASE 2016-220 Washington D.C., Oct. 18, 2016 —The Securities and Exchange Commission today [...]

08
Aug