SEC Reporting & Compliance

SEC Reporting & Compliance: Call 888-978-9901 To Speak To Our Firm

Count on us for complete guidance and services for drafting, reviewing and filing securities registration statements. Our attorneys have extensive experience of dealing with SEC compliance issues on behalf of our clients. Get in touch with us for all kinds of SEC company filings. These include Form 8-k, SEC Form 10 and other compliance obligations under the Securities Act of 1933 and the Securities Exchange Act of 1934.

Publicly traded companies are required to provide the U.S. Securities and Exchange Commission (SEC) with certain financial reports and disclosures, which provides shareholders with important information about how these companies are performing. Public companies that fail to properly submit these filings take the risk of being out of compliance with the SEC, which can lead to negative repercussions such as de-listing from the stock exchange.

The SEC's financial reporting requirements and other requirements of regulatory compliance can be extremely technical, which is why our law firm, Securities Compliance Group, is here to provide assistance. Our experienced SEC attorney helps clients draw up the appropriate documentation and ensure that that SEC reporting deadlines and being met. Here are some of the various areas in which we can provide assistance:

  • Current reports (Form 8-K, announcing major events to shareholders)
  • Quarterly reports (Form 10-Q)
  • Annual reports (Form 10-K)
  • Other disclosure requirements (such as disclosures of executive compensation)

Assistance with Corporate Governance

Part of helping a public company remain in compliance with the SEC is ensuring that strong corporate governance is in place. If there any corporate governance issues, these need to be handled by a knowledgeable legal professional who truly understands the dynamics of these types of issues. Here are just a few of the various types of corporate governance matters our law firm addresses:

  • Board of Directors issues (including Board independence)
  • Structure of board committees
  • Compliance with fiduciary duties
  • Establishment of policies (such as those concerning insider trading and ethical standards)
  • Succession policies for the CEO and senior management

At Securities Compliance Group, we are able to assist with many other types of financial reporting and corporate governance issues in addition to the ones mentioned above. The firm's founder, Attorney Adam S. Tracy, has a strong background in business and extensive knowledge in the area of securities law. While our firm's offices are located in Wheaton, Illinois and Beverly Hills, California, we serve clients throughout the United States. Call 888-978-9901 now or contact us online!

Securities Compliance Group Securities Compliance Group, LTD Adam S. Tracy, founder of the Securities Compliance Group, is an experienced corporate & securities attorney that handles initial public offerings, reverse mergers, securities offerings, compliance and private placement memorandums. Securities Compliance Group was founded in 2005 by Adam S. Tracy, an experienced attorney and capital markets consultant. A former competitive rugby player and serial entrepreneur, Adam Tracy has a wealth of experience on both sides of the table. He has advised many companies with regards to legal, compliance and capital markets matters. Corporate Lawyer 2005-05-05 Adam S. Tracy
2100 Manchester Road, Suite 615 Wheaton, IL 60187 United States of America 1-888-978-9901 1-630-689-9471 at (at) Chicago, IL 60601 Wheaton, IL 60187 Beverly HIlls, CA 90210
Securities Compliance Group 2100 Manchester Road, Suite 615, Wheaton, IL 60187 1-888-978-9901 USD Open: Monday-Friday 09:00-17:00 cash, credit cards, wire transfers, Bitcoin $$ to $$$ 9,+Wheaton,+IL+60187/@41.8642783,-88.1403152,17z/data=!3m1!4b1!4m5!3m4!1s0x880e55a812b97c47:0x7b9b43b052150e85!8m2!3d41.8642783!4d-88.1381265?hl=en
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9107 Wilshire Blvd., Suite 450 Beverly Hills, CA 90210 United States of America
Latitude: 34°04'03.3"N Longitude: 118°23'22.5"W
Adam S. Tracy Facebook Twitter Google + LinkedIn Tumblr DePaul College of Law, J.D. DePaul Kellstadt Graduate School of Business, M.B.A University of Notre Dame, B.S., Finance University of Notre Dame, B.A., Computer Applications Supreme Court of Illinois United States Tax Court United States District Court for the Northern District of Illinois United States District Court for the Central District of Illinois United States District Court for the Southern District of Illinois United States District Court for the Eastern District of Michigan Male American Chicago
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