It takes more than a top corporate law firm or experienced SEC attorney to prepare an effective registration statement or private placement memorandum (PPM), complete a complex reverse merger, close a technical commercial transaction, assist a Company with meeting the reporting requirements of the SEC or current information requirements for OTC Markets, or effectively perform as ongoing corporate counsel for small, publicly traded companies.
Effective legal representation can only be provided by a securities law firm that understands business itself, not just the laws that govern it. While other corporate law firms specialize in business theory, we focus on practical business applications.
Legal & Compliance, LLC is a multifaceted corporate and securities law firm. Our firm assists clients in all aspects of their commerce; including reverse mergers, registered public offerings, compliance with the over the counter market trading platforms such as OTCQB, compliance with FINRA and DTC, forming limited partnerships and partnership agreements, forming limited liability companies and operating agreements, strategic planning in response to unique management and ownership issues, and broad-scope legal services.
We at Legal & Compliance understand business and offer unique legal services to small and mid-size private and publicly-traded companies, entrepreneurs, and business professionals.
We are, without a doubt, the big firm alternative.
Emphasis On Avoiding Problems; Not Just Solving Them
We are more than just corporate and securities attorneys focusing on small, publicly traded companies. The firm provides comprehensive legal services and counsel for general corporate operations, business transactions, corporate law, corporate finance, regulatory, SEC and FINRA matters, and all aspects of document preparation. We maintain a legal as well as business perspective; focusing on avoiding problems, not just solving them.
Our experience in working with small, publicly traded companies is only exceeded by our ability to adapt. As the economic and regulatory landscape changes, so do we. Our firm is constantly evolving in order to stay abreast of regulatory changes and trends in the industry.
Corporate and Securities Law Practice Areas Include:
- Matters of corporate and securities law, including business entity formation, mergers & acquisitions, operations, business transactions and corporate finance transactions
- Reverse mergers, Initial public offerings, PIPE’s, direct public offerings, and secondary public offerings including the completion of S-1 and S-4 registration statements
- Private placement memorandums, limited liability company agreements, employment contracts, operating agreements, asset and stock purchase agreements, distribution and franchise agreements, limited partnership agreements
- Crowdfunding
- Regulatory and compliance matters, including SEC, FINRA and DTC matters
- Public company compliance including Securities Exchange Act of 1934 filings, including 8-K’s, 10-Q’s and 10-K’s
- Securities arbitration and litigation and commercial litigation
