SEC & STATE SECURITIES COMPLIANCE
Randall & Associates work closely with corporate and fund clients to implement and ensure SEC compliance with a wide range of federal and state securities law matters. We make sure you are in good hands.
SEC Reporting
Securities laws and regulations are a highly complicated and nuanced, requiring years of experience to effectively navigate through the complexities. We are focused on making sure you are compliant in filing and reporting the following:
Securities Act of 1933
Securities Exchange Act of 1934
Jumpstart Our Business Startups (JOBS) Act of 2012
Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
Investment Company Act of 1940
Investment Advisors Act of 1940
Trust Indenture Act of 1939
Sarbanes-Oxley Act of 2002
Blue Sky Laws
Each state has its own securities laws regulating the offering and sale of securities, known as “blue sky” laws. Each state also has its own agency to administer these laws as well as provide investors with private causes of action for securities fraud. We have helped our clients navigate these state specific laws all over the country. We make sure our clients are compliant both at the federal SEC level and at the state level.
Compliance Audits
Randall & Associates performs compliance and securities law audits for clients that may wish to improve or correct their filings with the SEC or state security agencies. We also modify and improve offering documents such as private placement memorandums, pitch decks, etc. so that they are defensible in the case of investor claims or SEC investigation.
