Corporate and Securities Department Restricted Stock and Beneficial Ownership Filing Attorneys

We work closely with issuers, directors, officers, shareholders, broker-dealers and transfer agents to navigate the legal and regulatory landscape surrounding the sale or transfer of restricted securities.
We also advise clients on a wide range of compliance and disclosure matters related to securities trading and ownership transfers.

Our services include (among others):

• Providing strategic legal guidance on issues involving restricted securities.
• Advising on resale exemptions under the Securities Act, including the Rule 144 safe harbor, among others.
• Assisting with the removal of restrictive legends from securities, including issuing supporting legal opinions.
• Supporting public company insiders (such as directors and officers) and relevant shareholders with compliance under Section 16 of the Exchange Act, including preparing Forms 3, 4, and 5.
• Advising shareholders on their reporting obligations under Section 13 of the Exchange Act, and preparing required filings, such as Schedules 13D and 13G.