Securities Compliance

With the recent passages of new laws and financial turmoil and scandals, the securities regulatory landscape has become more complex with greater consequences for noncompliance. In today’s emphasis on enforcement, businesses need sophisticated representation to assist them in navigating the ever changing regulatory environment. We at Silverman Shin & Schneider PLLC have the sophistication, resources and experience to provide clients with clear guidance on a wide range of securities compliance issues.

We advise clients in the latest regulatory changes and in timely fulfilling their reporting and disclosure requirements mandated by the SEC, states, FINRA and exchanges. We regularly assist clients in securities matters such as:

  • Preparing annual, quarterly and other Exchange Act reports
  • Insider trading rules, liabilities and reporting requirements
  • Preparing proxy statements
  • Preparing registration statements and private placement documents

If a client, including those in the securities industry, encounters securities related problems with investors, customers, regulators or shareholders, we protect our client’s interests in civil litigations, FINRA arbitrations and administrative proceedings.