SEC Practice Services

Our SEC practice group offers a high level of technical service within this complex environment, both for publicly held companies and private companies seeking to become public. From the most basic SEC filings to counseling on fiduciary matters, we offer the technical expertise that ensures our clients maintain compliance with the multitude of SEC regulations.

With many years of knowledge and experience in SEC matters, we are able to assist with:

  • Securities Act of 1933 Registration filings, including initial public offerings and secondary offerings
  • Securities Exchange Act of 1934 filings, including annual 10-K and quarterly 10-Q reporting
  • Interpretation and implementation of regulations including Regulations S-X and S-K, Staff Accounting Bulletins, Codification of Financial Reporting Policies and industry guides
  • Act as intermediary to SEC’s Division of Corporation Finance (including the Office of the Chief Accountant) pursuant to Comment Letters
  • Identification and communication of the SEC’s key areas of focus in recent filings, emerging SEC developments, private placement memorandums, and offerings exempt from registration under Regulation D
  • Mergers and acquisitions (M&A)
  • Reverse mergers and recapitalizations
  • Going private transactions
  • Raising capital and securing financing advisory
  • Audit committee guidelines
  • Systems analyses and consulting
  • Internal audit consulting and advisory
  • Compliance with Sarbanes-Oxley (SOX), including Section 404
  • SEC compliant outsourced accounting support and back office services
  • Allocation of purchase price on business combinations
  • Accounting for Stock Based Compensation Accounting Standards Codification (ASC) 718 formerly known as FAS 123
  • Preparation of financial statements, footnote disclosures, and Form 10K and Form 10Q assistance
  • Tax planning and compliance including ASC 740, formerly known as FAS 109, and FIN 48R
  • Quarterly reviews in compliance with SAS 100
  • Investment Company Act of 1940 compliance