Professional Counsel And Facilitation For Securities Transactions
Whether your company is engaging in an IPO, follow-on offering, private offering, buying securities or otherwise engaging in a securities transaction, it will be subject to countless and ever-evolving rules and regulations. While these rules are intended to shield investors from fraudulent activity, the complexities surrounding compliance with the federal and state securities laws are extremely difficult to navigate and absolutely require the assistance of seasoned professionals.
On the federal level, the Securities Act of 1933 (“Securities Act”) requires that every offer and sale of securities either be registered with the SEC or exempt from registration. Moreover, unless specifically preempted by the Securities Act, every offer and sale of securities must also comply with state law. To add to the complexity, every state has different securities rules and regulations. Failure to comply with either the federal or state securities laws carries stringent punishments and penalties.
When companies need help with securities regulatory guidance, our lawyers at ANTHONY, LINDER & CACOMANOLIS, PLLC, offer experienced and educated counsel. We help companies across the United States and foreign companies offering securities in the United States to successfully navigate complex securities laws while maintaining a focus on real-world business matters and problem-solving with a focus on success.
For those companies that are already public, we are a go-to firm to help with your interim reports on Forms 8-K and 6-K, quarterly reports on Form 10-Q and annual reports on Forms 10-K and 20-F. We also provide all legal work necessary to complete your annual meetings and shareholder consents in compliance with the federal proxy rules and local state corporate law.
Offering A Range Of Services For Securities Transactions
Our firm represents clients in a diverse array of securities transactions, including, but certainly not limited to:
- Initial Public Offerings (IPOs): We work with your team of bankers and auditors to help your company complete a smooth and successful IPO onto a national exchange such as Nasdaq or the NYSE American.
- Other Going Public Transactions: For those companies seeking a different going public route, such as a de-SPAC transaction, reverse merger with an OTC Markets public shell company or direct listing with a national exchange or onto the OTC Markets, we have the experience to guide the process.
- PIPE transactions: Public companies are constantly accessing the capital markets by engaging in a myriad of follow-on offerings, the most common of which is a PIPE transaction. We have completed hundreds of these transactions and can provide your company with the representation you need and can trust.
- Registered Offerings: Our firm can assist in all manners of registered follow-on offerings, whether a best efforts offering, firm commitment, utilizing an S-1 or F-1, creating a shelf on Forms S-3 or F-3 or take-downs off your shelf, such as registered direct offerings and CMPOs. We are the right counsel for you.
- Regulation A: Our firm is one of the most prolific in Regulation A offerings.
- Private Placement and all forms of Exempt Offerings: Our attorneys will provide the advice, guidance and document preparation necessary to complete an exempt offering, whether through a private placement or otherwise.
- SEC Reporting: Our attorneys help you comply with your reporting requirements, including interim reports on Forms 8-K and 6-K, quarterly reports on Form 10-Q, annual reports on Forms 10-K and 20-F; and annual and special meeting proxies, as well as shareholder consent information statements.
Learn more about each of these areas by visiting their individual practice area pages.
Our Lawyers Will Help You Navigate The Securities Law
We understand how nuanced, technical and complicated securities law can be. At ANTHONY, LINDER & CACOMANOLIS, PLLC, our attorneys have extensive experience handling all forms of securities transactions. We can help ease some of the stress and confusion you may feel when traveling through these complicated processes.
Speak With A Securities Attorney From ANTHONY, LINDER & CACOMANOLIS, PLLC, Today
We can address any concerns or inquiries you have from our West Palm Beach office. Inquiries of a technical nature are always encouraged. Schedule an in-person or virtual consultation by calling877-541-3263 or visiting our contact page. We look forward to speaking with you.