Regulatory & Securities

Inc Legal Associates is your trusted partner for navigating the complex and ever-changing landscape of regulatory and securities law. Our team of experienced legal professionals is dedicated to providing comprehensive and tailored solutions to meet your unique needs. From securities offerings and regulatory compliance to enforcement actions and litigation, we offer expert guidance and representation to help you stay compliant and protect your business.

At Inc Legal Associates, we understand the critical importance of regulatory compliance in today's financial markets. Our deep knowledge and expertise allow us to provide practical and effective solutions that align with your business goals. Whether you're a public company, a private issuer, or a financial institution, we are committed to delivering exceptional legal services that exceed your expectations.

What We Do

Securities Offerings: We advise on the issuance of securities, including initial public offerings (IPOs), secondary offerings, and private placements.

Regulatory Compliance: We ensure compliance with all applicable securities laws and regulations, including the Securities Act of 1933, the Securities Exchange Act of 1934, and the Sarbanes-Oxley Act.

Corporate Governance: We provide advice on corporate governance matters, including board of director practices, executive compensation, and shareholder rights.

Disclosure and Reporting: We help clients prepare and file required disclosures and reports with regulatory authorities, including Form 10-K, Form 10-Q, and Form 8-K.

Insider Trading: We advise on insider trading rules and regulations, and assist clients in developing policies and procedures to prevent insider trading.

Proxy Solicitation: We assist with proxy solicitation matters, including preparing proxy statements and soliciting votes from shareholders.

Mergers and Acquisitions: We represent clients in mergers and acquisitions involving publicly traded companies.

Enforcement Actions: We represent clients in investigations and enforcement actions brought by regulatory authorities, such as the Securities and Exchange Commission (SEC).

Litigation: We represent clients in securities litigation matters, including class action lawsuits and derivative actions.

No matter what your regulatory and securities needs are, Inc Legal Associates is here to help. Contact us today to schedule a consultation.

"Every man has a right to his property, be it ever so small."

"The law should not be a barrier to commerce but a facilitator of it.