Regulatory Reporting and Filings

//Regulatory Reporting and Filings
Regulatory Reporting and Filings2016-12-28T23:08:56+00:00

We have in depth experience with regulatory filings and guide clients through the reporting requirements for SEC, state and self-regulatory organizations. We routinely assist clients with preparing annual, quarterly and current reports and other regulatory filings, including the following:

  • Annual Reports on Form 10-K
  • Quarterly Reports on Form 10-Q
  • Periodic Reports on Form 8-K
  • Proxy Statements
  • Executive Compensation Reporting and Disclosure
  • Section 16 Reporting (i.e., Forms 3, 4 and 5)
  • Section 13 Reporting (Forms 13D, 13G, 13H, 13F)
  • Form PF
  • Form ADV
  • NFA Filings
  • FINRA Filings
  • State blue sky Filings
  • Form D

We also prepare no-action letters and interpretive requests; and provide a variety of legal opinions under the federal securities laws, including opinion letters relating to Rule 144 and Rule 144A safe harbors for selling unregistered securities.