Securities and Corporate Law

Registration Statements

• Registration Statements under the Securities Act of 1933 (Form S-1, S-3, S-8)
• Registration Statements under the Securities Exchange Act of 1934 (Form 10, Form 8-A)
• Regulation A Offering Statements (Form 1-A)

Public Company Reporting

• Periodical Reporting under the Securities Exchange Act of 1934 (Forms 10-Q, 10-K, 8-K)
• Proxy and Information Statements under the Securities Exchange Act of 1934 (Schedules 14A, 14C)
• OTC Markets Reporting

Private Placements

• Securities Act of 1933 Exemptions (Reg A, Reg D, Intrastate, etc.)
• Private Placement Memorandums
• Loan Documents (Promissory Notes, Secured Transactions)
• Blue Sky

Mergers and Acquisitions

• Transaction Selection (Merger, Exchange, JV, etc.)
• Due Diligence, LOI
• Definitive Documents
• Ancillary Documents (Investor/Shareholder Rights, Registration Rights, Lock-Ups)
• Change in Control/Management
• Consents (Board, Shareholder)
• State filings

Corporate Representation

• Business entity selection
• Governing docs (Articles, Bylaws, Operating Agreements)
• Board governance (minutes, committees, charters)
• Capital Structure (Common, Preferred, Options, Warrants)
• Preferred Stock Designations
• Stock splits, Dividends, Repurchases
• FINRA fillings
• Incentive Plans (ISO, NQO, Director Compensation)

 

Contract Review

• Employment, Consulting, Severance
• Intellectual Property
• Business Agreements (Manufacturing/Supply, Marketing, Distribution)

EDGAR Filings with the SEC

• please visit www.edgareinsteins.com for more information.

Legal Opinions

• Rule 144

• Registration
• DTC Opinions
• Affiliate Status
• Shell Status

• Enforceability
• Validity of stock

• Tradeability

Escrow Services

• Settlements
• Stock Transfers

Support Network

• PCAOB Auditors
• Transfer Agents
• Financial Accounting
• Bookkeeping

• Broker-Dealers

• Edgar