SEC Practice Services
Raich Ende Malter & Co. LLP's SEC practice group offers personalized service in a complex environment. We offer services to publicly held and private companies seeking to become public.
Our technical expertise in SEC rules and regulations ensures that our clients maintain compliance, despite the myriad of SEC releases, both proposed and final.
Critical to any professional service are the men and women who staff the engagement. Our SEC practice group includes leadership with many years of experience providing services to registrants. We offer a consistently cost effective service and at the same time, we provide the technical expertise of a large organization because of our backgrounds. We have accumulated years of knowledge and understand the demands involved in reporting to the SEC
We can assist with:
- Registration of a public offering of securities under the Securities Act of 1933 (including, but not limited to, initial public offerings and secondary offerings)
- Registration and reporting under the Securities Exchange Act of 1934 (including, but not limited to, annual and quarterly reporting)
- Interpretation and implementation of regulations governing various filing forms (Regulations S-X and S-K, Staff Accounting Bulletins, Codification of Financial Reporting Policies, and industry guides)
- Researching and resolving SEC issues through communications with the SEC's Division of Corporation Finance (including the office of the Chief Accountant).
- Identification and communication of the SEC's key areas of focus in recent filings and emerging SEC developments
- Private placement memorandums and offerings exempt from registration under Regulation D
- Mergers and acquisitions
- Reverse mergers and recapitalizations
- Going private transactions
- Advising businesses on raising capital and securing financing
- Audit committee guidelines
- Systems analyses and consulting
- Internal audit function
- Compliance with Sarbanes-Oxley, including Section 404
- Outsourced accounting support and back office services
- Assist you with calculating the financial statement impact of equity transactions, e.g., FASB 123R
- Assist with the allocation of the purchase price on business combinations
- Assist with the preparation of financial statements and footnote disclosures and Form 10K and Form 10Q
- Tax planning and compliance
- Tax provision preparation in accordance with current and emerging financial reporting standards including SFAS I09 and FIN 48R
- SEC 382 studies
- Tax services to corporate executives with financial oversight responsibilities for non-audit public company clients
Reporting and Compliance Services:
- Annual audits and periodic filing requirements of the Securities Exchange Act of 1934
- Quarterly reviews in compliance with SAS71
- Investment Company Act of 1940 compliance
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