SEC Compliance
Public companies have unique demands and obligations under the federal securities laws. We have represented many public companies, and when we are engaged by a public company we work with them to develop a compliance program that will allow them to meet their public company obligations efficiently and with a minimum intrusion into their business.
Unlike many law firms we do not have third party services make filings under the EDGAR system. We make the EDGAR filings in house for no extra charge to our clients. This allows us to better control the process in order to meet filing deadlines and it is a benefit to our client, because it reduces submission lead times, thus giving the client more time to prepare filings.
Compliance Program:
Compliance Program:
- We meet with the client and often with the clients' public accounting firm to prepare a calendar of required filing dates.
- We work with the client to prepare the disclosures on the Company's annual report on Form 10-K.
- We assist the client in developing the Management Discussion and Analysis disclosure.
- We review the written portion of the 10-K and the financial statements.
- We finalize the 10-K with the client and we make the EDGAR filing with the SEC.
- We work with the client to establish a timetable for an annual meeting.
- We prepare the proxy for the annual meeting and we file the proxy with the SEC.
- We assist the client in mailing the proxy to its shareholders.
- At the end of each quarter, we review the quarterly report on Form 10-Q and we file the report with the SEC.
- We stay in close contact with the client throughout the year, and we counsel the client on SEC compliance issues
- We make sure the client is aware of any 8-K's that are required to be filed, and then we prepare the 8-K and make the EDGAR filing.
- We also educate the clients' officers and directors on the requirements to file beneficial ownership reports on Form 3, Form 4, Form 5 and Schedule 13D.
- We file the beneficial ownership reports on behalf of the client.
Philosophy
- We develop a compliance program for the client.
- We make sure that all members of management are educated about their obligations under the securities laws.
- We are responsive and available to answer questions that may arise throughout the year.
- We assist the client in doing as much of the compliance reporting as possible in order to reduce legal fees.
- When major transactions arise we work with the client to develop a compliance timetable to assure that all regulatory requirements are met in a timely fashion.
Representative Experience:
- Preparation and filing of annual reports on Form 10-K.
- Preparation and filing of quarterly reports on Form 10-Q.
- Preparation and filing of beneficial ownership reports on Forms 3, 4, 5 and 13D.
- Preparation and filing of proxy statements.
- Preparation and filing of annual reports to shareholders.
- Organize and attend annual meetings.
- Prepare and file current reports on Form 8-K.
- Preparation and filing of information statements.
- Preparation and filing of Form 14f reflecting changes in control of a public company.
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