Securities Law Counsel
Experienced Counsel for Securities Law Matters
Capital Markets Law Group, LLP advises issuers, broker-dealers, and private companies on securities offerings, FINRA corporate actions and 15c2-11 filings, exchange uplistings, corporate finance, M&A, and flat-fee SEC compliance.
Our Practice
Securities Law, End to End
We have over 20 years' experience taking companies public and raising capital, representing publicly traded companies and entrepreneurs in all SEC and FINRA legal matters.
SEC Securities Offerings
S-1 IPOs, Regulation A+, Regulation D, Regulation CF, and Regulation S offerings.
Securities Legal Opinions
Rule 144 and Section 4(a)(1) opinions, and non shell status opinions for former shells.
FINRA Corporate Actions
FINRA approval for splits, name and symbol changes, dividends, and redomiciles.
FINRA 15c2-11
Form 211 due diligence packages with market makers, including repairing defunct companies.
Mergers & Acquisitions
Reverse mergers, RTOs, control block transfers, roll ups, SPACs, and SPVs.
SPACs and De-SPACs
Counsel for SPAC IPOs, de-SPAC business combinations, PIPEs, and post-combination reporting.
NASDAQ & NYSE Uplistings
Direct and underwritten listings on NASDAQ, NYSE American, OTCQB, and dual listings.
Corporate Finance
Purchase agreements, convertible notes, warrants, incentive plans, and S-8 filings.
Flat Fee SEC Compliance
Monthly flat-fee drafting and review of 10-Ks, 10-Qs, 8-Ks, Forms 3, 4, 5, and press releases.
Securities Litigation
Shareholder litigation, securities class actions, enforcement defense, and FINRA arbitration.
Nasdaq Readiness Scorecard
Thinking About an Uplisting?
Work through 12 readiness questions before you spend money on a listing application. The scorecard shows where your company stands against Nasdaq and NYSE American standards in about five minutes.
Take the ScorecardWhy Clients Choose Us
A Focused Securities Law Practice
Securities law is our practice — not one of many. That focus means we understand the regulatory landscape, the enforcement priorities, and the transactional structures that shape each matter.
We communicate directly and plainly. Clients know where their matter stands, what the issues are, and what to expect at each stage.
Every engagement begins with a consultation to understand the facts and assess the path forward — before any commitment from either side.
Get Started
Talk Through Your Matter With Us
Schedule a consultation to discuss your securities law matter. We'll review the facts and outline your options.