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.