Securities Law

The Law Offices of Vicki S. Gruber, P.C. helps clients to raise capital, and advises issuers and investors on equity and debt transactions. We help companies comply with securities laws, stock exchange rules and corporate governance requirements under SEC rules, including Sarbanes-Oxley and Dodd-Frank.

We have represented issuers in public and private offerings of securities under the 1933 Act, and in reporting under the 1934 Act. We prepare SEC registration statements, annual, quarterly and current reports, proxy and information statements, Regulation D offerings, and other SEC documents.

We provide advice on other securities matters, such as corporate governance, compliance with short swing profit and insider trading rules, preparation of and compliance with internal company policies, and drafting and administration of equity and stock compensation plans. Our securities practice includes:

  • Public Offerings
  • Private Placements
  • Angel Financing
  • Venture Capital
  • Registration Statements
  • Stock Exchange & Nasdaq Listings
  • Current, Quarterly and Annual Reports (Forms 8-K, 10-Q and 10-K)
  • Proxy and Information Statements
  • Corporate Governance
  • Compliance with SEC rules, Sarbanes-Oxley and Dodd-Frank
  • Stock Incentive & Equity Compensation Plans
  • Company Policies, including Insider Trading Policies and Plans
  • SEC No-Action Letters