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Securities Law and Compliance

The attorneys at Waldman Law Group, P.C. provide federal and state securities law compliance advice to our clients engaged in corporate and securities transactional matters. Our attorneys address the needs of our clients by providing responsive solutions based on the technical knowledge gained through years of experience in this field.

Waldman Law Group, P.C. counsels broker-dealers, registered representatives, investment advisors and other securities professionals regarding registration, compliance, reporting, disclosure and trading issues.

We assist broker-dealers in the membership and continuance process with the FINRA; counsel broker-dealers with respect to regulatory examinations and audits; draft broker-dealer compliance and supervisory procedures; counsel investment advisers with respect to fees and disclosure; counsel public companies concerning prospectus and periodic reporting disclosures.

Our firm has experience in a broad range of sophisticated securities-related matters, including:

  • SEC-registered, underwritten debt and equity offerings, including IPOs, follow-on offerings and hybrid securities offerings
  • Shelf registration statements
  • Spin-offs and going private transactions
  • Rule 144A transactions, PIPES, private placements and other exempt offerings
  • Tender offers (self- and third-party tenders) and other M&A transactions in which securities are issued as consideration
  • Insider trading and Section 16 compliance and reporting issues, Rule 144 sales and Schedule 13D/G compliance
  • Employee benefit matters, including compensation and benefit plans and arrangements and Form S-8 registration statements
  • Periodic and current SEC reporting (e.g., Form 8-Ks, 10-Qs, 10-Ks and proxy statements), including compliance with Regulation FD and other disclosure requirements
  • Compliance with the Sarbanes-Oxley Act and the related SEC regulations
  • Compliance with the listing requirements of the NYSE, Nasdaq, AMEX and other SROs
  • Corporate governance matters, including advising boards of directors, committees and board members

As a securities law client, you will appreciate the business experience and business judgment offered by of our attorneys. Contact the Waldman Law Group, P.C. to schedule a consultation on the legal needs of your business, and let us help you advance your objectives through sound legal counsel.