Securities Lawyers. worldwide.
Our attorneys represent publicly traded companies and entrepreneurs in all SEC and FINRA legal matters.
Our dedicated team is here to guide you through every step of the process.
SEC SECURITIES OFFERINGS
We have over 20 years' experience taking companies public and raising capital via
S-1 Registration Statements (IPOs)
Regulation A+
Regulation D
Regulation CF (Crowdfunding), and
Regulation S, for foreign/offshore offerings taking place outside of the United States.
SECURITIES LEGAL OPINIONS
Our attorneys provide securities legal opinions to help shareholders clear and deposit restricted stock under exemptions from registration, such as
Rule 144 and
Section 4(a)(1)
of the Securities Act of 1933.
We also issue "non shell status" opinions for former shell companies post-merger.
FINRA CORPORATE ACTIONS
We provide specialized representation for public companies seeking FINRA's approval for
Reverse stock splits
Forward stock splits
Name changes,
Trading symbol changes,
Dividends, and
Redomiciles.
FINRA 15c2-11
For companies going public via S-1 or Reg A, and to allow public companies quoted on the "expert market" to resume trading, we work with market makers to submit comprehensive due diligence packages and opinions for FINRA's 211 process.
This process is necessary for repairing defunct companies with prior Trading Suspensions, Trading Halts, and Caveat Emptor designations.
MERGERS & ACQUISITIONS
We represent public companies and entrepreneurs in mergers and acquisitions, including
Reverse Mergers
Reverse Takeovers (RTO)
Control Block Transfers
Asset Purchases and All Stock Sales
Share Exchange Agreements
Roll Ups
Leverage Buy Outs
SPAC
SPV (Special Purpose Vehicles)
Commercial Leases and Sale-Leasebacks
Patent and Trademark Licensing Agreements
NASDAQ & NYSE UPLISTINGS
We take companies public through direct or underwritten offerings, including
NASDAQ Capital Markets
NYSE American
OTCQB
Dual listings:
CBOE
CSE
TSX
CORPORATE FINANCE
We represent public companies, hedge funds, and family offices in corporate financing, including
Stock Purchase Agreements
Debt Purchase Agreements
Convertible Promissory Notes
Warrants
Options
Equity Incentive Plans
Executive Compensation Plans
S-8 Registration Statements
SBA Loans
FLAT FEE SEC COMPLIANCE
We provide monthly flat-fee securities compliance services to select public companies filing SEC reports under the Securities Exchange Act of 1934, including the review and drafting of
10-Ks
10-Qs
8-Ks
Forms 3, 4, 5
Schedule 14
and
Press Releases
Who We Are
About Capital Markets Law Group
20 Years Of Securities Law Experience
With over 20 years of experience, we have successfully represented hundreds of clients in SEC and FINRA securities law cases. Our extensive knowledge and focus on securities compliance allow us to handle even the most complex cases with confidence and precision. Trust our expertise to to guide you through every step of the legal and regulatory process.
SCHEDULE A FREE CONSULTATION
During this session, we will discuss your goals, answer any questions, and provide clear guidance on your legal options. There's no obligation—just expert advice to help you make the best decision for your future.
Contact Us
Capital Markets Law Group
14 Wall Street, 20th Floor
New York, NY 10005
(631) 515-7857
