Orange County Regulatory Compliance Attorneys

Complying with the vast and complicated body of securities law is not a one-time need. For most businesses, it's an ongoing concern. Lapses in compliance can cost your company a fortune.

At Wilson & Oskam, we advise business clients on all aspects of state and federal regulatory compliance. Our attorneys have decades of combined experience navigating securities regulations at the state and federal levels, including the Securities Exchange Act of 1934, the "Truth in Securities Act" (the Securities Act of 1933) and applicable state "blue sky laws."

As a boutique law firm, we represent businesses across many industry sectors. We have convenient office locations in Orange County and New York City.

Comprehensive Guidance On The Many Nuances Of Securities Law

Businesses and startups rely on our firm for guidance on the process of raising capital through private placements or public offerings. We also help new businesses with another aspect of federal and state regulatory compliance — putting into place the proper internal corporate governance practices. For example, we will:

  • Establish audit, nominating and compensation committees
  • Prepare the committee charters
  • Advise the board of directors on its duties and responsibilities
  • Prepare an insider trading policy and code of ethics
  • Prepare and file registration statements on Form S-8 to register shares that will be offered and sold to employees and consultants

Our legal services don't stop there. We have many long-term business clients, and our lawyers provide ongoing guidance with respect to every aspect of securities law, including:

  • Preparing and filing periodic reports with the SEC (for example, Forms 10-K, 10-Q and 8-K)
  • Preparing SEC filings for officers and directors, such as Forms 3, 4 and 5 under Section 16 of the Exchange Act and Forms 13D and 13G under Section 13 of the Exchange Act
  • Preparing stock incentive or stock option plans and related Form S-8 registration statements
  • Preparing documents to comply with the proxy rules under the Securities Act, which may include annual Schedule 14A proxy statements or Schedule 14C information statements
  • Assisting clients in complying with Regulation FD regarding fair disclosure of information to the public
  • Advising clients on how to comply with insider trading restrictions
  • Preparing Form S-4 registration statements for mergers and acquisitions

Contact the firm for more information about our securities and compliance services.