Compliance with Securities Exchange Act of 1934

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We are highly specialized in Exchange Act reporting and compliance, which is critical to a reporting company’s ability to raise capital, obtaining shareholder approval or restructure outstanding derivative securities when needed. We use our focused expertise in Exchange Act reporting and compliance to help our reporting company clients avoid or quickly resolve SEC comments to Exchange Act reports, proxy statements and tender offer statements.

Our expertise in Exchange Act compliance includes:

  • Exchange Act registration statements (Forms 10 and 8-A)
  • Annual and quarterly reports (Forms 10-K and 10-Q)
  • Current reports (Form 8-K)
  • Proxy statements/proxy contests (Schedule 14A)
  • Information statements (Schedule 14C)
  • Tender offer statements (Schedule TO)
  • Insider filings (Forms 3, 4 and 5, Schedules 13G and 13D)

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