Securities Regulation and Corporate Governance
As experienced lawyers, we guide companies through the legal and regulatory hurdles related
to securities regulation and corporate governance. An important theme of corporate governance
is to ensure the accountability of management in an organization through mechanisms related
to the fiduciary duties of its leaders. A related but separate thread of discussions focuses on the
impact of a corporate governance system on economic efficiency, with a strong emphasis on
Our attorney’s have more than 25 years of combined experience in drafting, filing and obtaining effective SEC registration statements. We counsel clients on all SEC compliance issues including the Sarbanes-Oxley Act of 2002, the 1934 Exchange Act as amended, and other
periodic reporting obligations. The introduction of the Sarbanes-Oxley Act of 2002 has subjected companies, with securities traded and quoted on all exchanges, to increased disclosure and corporate governance requirements. Part of our role as legal counsel includes educating our clients on changes in the law and ensuring that their company is not obstructed by any such changes.
Our experience allows us to cost-effectively counsel companies on compliance with state Blue Sky laws and other securities law issues such as reorganizations, recapitalizations, board of director and shareholder issues, and employee stock option plans (ESOPs).
For a competitive flat monthly fee, paid on a quarterly basis, our legal compliance team handles a plethora of services such as: `
- the legal counseling of your Company with respect to its general corporate affairs and relationships with shareholders
- officers and directors
- government agencies and stock markets and exchanges
- preparation and filing of the legal portion of periodic SEC reports and filings (including your 10-K for the year and the Company's 10 Q's for its fiscal quarters), any 8 K's required to be filed
- any securities filings needed as a result of the sale of stock by an officer or director
- all 144 opinions for affiliates and a pre approved list of up to 30 investors from the company
- assistance in structuring and arranging board meetings and preparation of minutes for such meetings
- general advice and assistance in complying with the Sarbanes-Oxley Act of 2002, and the annual Proxy
Additionally, we usually help our clients with FINRA registered broker/dealers in the Form 211
process to obtain stock quotations on the Over the Counter Bulletin Board (OTCBB) and Pink
Sheets, and with national exchange listing applications and regulations.
All our services are on a Flat Fee basis
For more information please call 646-502-7001
Email us at info@JSBarkats.com