SEC Advisory Services

Keeping current with the regulatory environment and refining your technical competency can be a time-consuming process for any business and it can be debilitating for small and development stage companies. We help clients address the complexities of public reporting requirements including technical accounting issues, internal controls, public disclosures, securities litigation and SEC regulations. Our collective experience enables us to provide practical advice on alternative courses of action and create solutions that meet your specific requirements.

Collaborating with management and outside counsel as an unbiased advocate, we develop and refine strategies for compliance with SEC Rules, federal and state regulations and industry best practices. Our team will:

• Review written policies and procedures to ensure compliance with SEC regulations, federal and state laws and other statutory requirements
• Identify weaknesses in firm’s compliance program and recommend solutions
• 1934 Act filing preparation and reviews
• Consultation on emerging rules and regulations
• IPO, Reverse Merger, SPAC, DPO Preparation Analysis and Support
• Sarbanes Oxley Compliance

Providing the right advice at the right time can save time and money.