Securities Law Consultation: Going Public & SEC Compliance
A securities attorney handles SEC registration, going public transactions, OTC markets compliance, and ongoing reporting requirements. We guide companies through going public via Form 211, reverse mergers, and direct listings. Personal attention from the managing partner on every engagement.
☎️ Need immediate advice? Call our securities team now: (248) 266-2790
Securities Law Consultation
Discuss your going public strategy, SEC compliance needs, or OTC listing questions. Confidential.
Request Engagement Assessment
What We'll Discuss
Going Public Strategy
Form 211 vs reverse merger vs direct listing-we'll help you choose the right path to public markets
SEC Registration Requirements
Reg A+, Reg D, S-1 registration-understand what's required for your situation
OTC Markets Compliance
OTCQB, OTCQX listing requirements, ongoing disclosure obligations, and market tier upgrades
Timeline & Process Expectations
Realistic timeframes and a clear process overview for your securities law needs
Our Securities Law Practice
Why Companies Choose Us
Securities Law Services
Going Public Transactions
Take your company public through Form 211 (direct quotation), reverse merger, or SEC registration. We handle FINRA coordination, SEC filings, corporate cleanup, and market maker relationships. Timeline: 3-12 months depending on method.
SEC Reporting & Compliance
Ongoing compliance for public companies: 10-K annual reports, 10-Q quarterlies, 8-K current reports, proxy statements, and Section 16 insider filings. We ensure timely, accurate disclosure and avoid SEC comment letters.
OTC Markets Listings
OTCQB and OTCQX application preparation, ongoing disclosure compliance, and tier upgrades. We help companies achieve and maintain verified disclosure status for better trading visibility and investor confidence.
Private Placements
Reg D offerings (506(b), 506(c)), private placement memorandum drafting, subscription agreements, investor verification, and blue sky compliance. Raise capital while maintaining securities law compliance.
Securities Law FAQs
What's the fastest way to take my company public?
A Form 211 application is typically the fastest path to public trading, taking 3-6 months. Reverse mergers can be faster (2-4 months) but require finding a suitable shell company. Traditional SEC registration (S-1) takes 6-12+ months but provides more flexibility for capital raising.
How much does it cost to go public?
Going public costs $50,000-$250,000+ depending on the method. Form 211: $50,000-$100,000 (legal, audit, market maker). Reverse merger: $75,000-$200,000 (shell cost, legal, audit). SEC registration: $150,000-$500,000+ (legal, accounting, underwriting). Ongoing compliance adds $50,000-$150,000 annually.
What's the difference between OTCQB and OTCQX?
OTCQB is the "Venture Market" for earlier-stage companies-requires SEC reporting or Reg A, $0.01 minimum bid, and annual verification. OTCQX is the premium tier-requires SEC reporting, $0.25 minimum bid, audited financials, and no bankruptcy. OTCQX companies often have better trading liquidity and institutional investor access.
Do I need audited financials to go public?
Yes, for most paths. SEC reporting companies need PCAOB audits. OTCQB Alternative Reporting requires CPA-reviewed financials. OTCQX requires audited financials. Even Form 211 applications increasingly require audited or reviewed financials for successful FINRA approval. Budget $15,000-$50,000 annually for audit costs.
What ongoing compliance is required for public companies?
SEC reporting companies file 10-K (annual), 10-Q (quarterly), and 8-K (current events) reports. Insiders file Forms 3, 4, and 5 for stock transactions. Proxy statements are required for shareholder meetings. OTC companies also file ongoing disclosures with OTC Markets. Miss a deadline and you risk trading suspension.
Ready to Discuss Your Securities Law Needs?
Submit your details for an engagement assessment on going public, SEC compliance, or OTC markets.