Securities Capital. » Compliance.
Compliance
As a firm of seasoned securities lawyers, STUART | MOORE | STAUB is well versed in securities laws compliance. Our attorneys continually represent both public and private companies in securities transactions and related reporting. Our securities services include federal and state compliance matters, specifically the Securities Act of 1933 and the Securities and Exchange Act of 1934.
Specifically, STUART | MOORE | STAUB assists our clients with the preparation and, where necessary, the filing, of the following securities documentation:
- Registration statements and where applicable, documentation relating to exemptions from registration;
- Stock exchange listing applications;
- All ’34 Act reports, including Forms 10, 10-K, 10-Q, 8-K, proxy statements and all related filings;
- Regulatory filings required by the California Department of Corporations and other Blue-Sky administrators; and
- Company policies that relate to securities transactions, including insider trading policies.
