Experience is crucial for public companies in their dealing with the FINRA regulatory process. We have represented numerous companies seeking FINRA approval for initial 15c2-11 filings, and corporate actions, including name and symbol changes, corporate restructurings and change of control transactions along with all other areas of FINRA jurisdiction.
Understanding and experience counts when seeking approval for corporate actions requiring FINRA approval. Our expertise helps issuers in all aspects of corporate and business planning and structuring, including preparation of registration statements and prospectuses, assistance in negotiating with underwriters or placement representatives, preparation of listing applications, and related transactional aspects of the offerings.
Our firm performs a wide range of complex corporate transactions, including mergers and acquisitions, tender offerings, joint venture (PIPE) and going private transactions.
- Form S-1, Form 10
- Form F-1, Form 20-f
- Quarterly, Annual and Period Filings
- SEC Form 8-K, Form 10-Q and 10K
- Proxy Statements
- Information Statements
- Compliance with Sarbanes-Oxley
- Mergers and Acquisitions
- PIPE Transactions
- Listing Applications