SEC and FINRA Filings and Compliance

We advise issuers on complying with the complex securities laws, rules and regulations that these companies must comply with, including proxy rules, other periodic reporting requirements under the Securities Exchange Act of 1934 (such as Forms 10-Q, 10-K and 8-K). We also advise our clients on other compliance matters such as FINRA regulation, blue sky, Sarbanes-Oxley, Dodd-Frank, general corporate governance matters, insider trading and conflicts of interest.