The Legal & Compliance, LLC Advantage

Securities Law is a Specialty within a Specialty

Just because a law firm presents itself as a “securities law firm” does not necessarily mean that they know and understand the OTC Marketplace and the technical needs of OTC, Micro, Small and Mid Cap Issuers. Securities law is a broad field and if you intend to prevail as a public issuer or a private company going public, you need a law firm with extensive OTC and Small and Mid Cap market experience.

Many of the nation’s largest law firms employ at least one securities attorney. However, unless they are familiar with the regulations as applied to Small and Mid Cap Issuer, have completed a reverse merger on the OTC Market, PIPE transactions, or taken a private Company public by way of a DPO (direct public offering) through the filing of an S-1 Registration Statement, the client will ultimately waste precious time and money. Worse yet, the client may miss a window of opportunity that may not present itself again.

Our Attorneys Possess a Wide Range of Small and Mid Cap Issuer and OTC Experience.

Legal & Compliance provides necessary attention to each client without needless delays or over billing. Our founding partner, Laura Anthony and entire team of attorneys, establish close, long-term relationships with our clients, including private and publicly traded companies, and quickly ascertains their professional needs. Our work ethic and experience facilitates a process that results in a superior work product without incurring unnecessary expense for the client.

We invest valuable time in understanding our clients’ corporate needs and stand firmly behind the quality of our work product at all times. Legal & Compliance provides effective corporate and securities representation, advice, document preparation and review for all manners of transactions that apply to Micro, Small and Mid Cap Issuers, including, but certainly not limited to, registration statements (Form 10; S-1; S-4; S-3 and S-8); corporate financing transactions (debt or equity including options, warrants and combinations of each and credit and equity line transactions); meeting the reporting requirements of the Securities Exchange Act of 1934, as amended (Forms 10-K, 10-Q, 8-K, 14A and 14C); employment agreements and compensation plans; distribution and licensing agreements; mergers and acquisitions (forward, reverse, triangular, etc..), exempt offerings (504, 505, 506(b), 506(c), 4(a)(2), Regulation A, Regulation A+ and crowdfunding), corporate actions that require FINRA or other regulatory review (forward and reverse splits, name changes, changes of domicile, etc.) and problem solving such as the removal of DTC chills.

In addition we provide basic corporate representation such as entity formation, board and shareholder minutes, assisting with board and shareholder meetings, shareholder agreements, operating agreement and director agreements. Moreover, we make introductions to market makers and other service providers (including transfer agents, underwriters and placement agents, auditors, CFO service providers, market awareness professionals, etc.) and assist in 15c2-11 and DTC eligibility applications. Finally, we have relationships with, and can make introductions to, funding sources for public entities.

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