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Los Angeles Securities Compliance & Registration

Experienced Securities Law Attorneys in Santa Clarita

Successful businesses, regardless of size, share a common strength: adequate capitalization. Poole Shaffery has the experience and the capability to represent small, medium and large public and private companies in a wide range of securities matters. Our Santa Clarita securities lawyer will work closely to assist companies of all kinds and all sizes with their capital needs while assuring compliance with applicable securities laws.

From Santa Clarita, we serve businesses throughout California. Poole Shaffery has office locations in Santa Clarita, Los Angeles, Paso Robles, Orange County, and San Diego.

Drafting, Reviewing & Filing Securities Registration Statements

Our attorneys leverage the knowledge and insight gained from more than 20 years of extensive experience with SEC compliance issues on behalf of our clients. We have significant experience with drafting, reviewing and filing registration statements and periodic reports. We pride ourselves on being able to draw on our experience in dealing with the SEC on registration statements and comment letters to get through regulatory review as quickly and efficiently as possible.

Federal Securities Law – Initial Listings and Reporting

Additionally, we represent many public companies, nationally and internationally, from initial listings to continued reporting under the federal securities laws. As a result, we have significant experience in navigating and handling all the reporting requirements a U.S. public company is subject to under the various securities laws and regulations. We are well-versed and knowledgeable concerning the rules and regulations of the Sarbanes-Oxley Act, Dodd-Frank and the JOBS Act. We can assist public companies in comply with the new regulations recently enacted pursuant to the JOBS Act.

Securities & Exchange Commission Compliance

Our Los Angeles securities compliance attorneys have extensive experience with SEC compliance issues, as well as with filing registration statements and working with the SEC to ensure our clients' overall effectiveness.

The services we provide to our clients throughout Southern California and the rest of the nation include:

  • Registration Statements (S-1s, S-3s, S-8, 20-F, 10, etc.)
  • Periodic Reporting Obligations (10-Ks, 10-Qs, 8-Ks, etc.)
  • National Exchange Regulations (NYSE, NASDAQ, AMEX, etc.)
  • Proxy Contests (14As, 14Cs, etc.)
  • Over The Counter Bulletin Board (OTCBB, OTC MARKETS, OTCQX International)

Additionally, we are well-versed in making sure that companies based in the United States successfully address all of the reporting requirements they are subject to regarding various securities laws and regulations. We have experience with corporate finance transactions, including public company offerings. And we are proficient in handling other forms of debt and equity offerings, including secondary offerings, 144A offerings, Reg. S offerings, convertible debt and bridge financing.

To inquire about these or any other securities, compliance and registration services you may require, please contact our SEC compliance attorney at or call 661-290-2991.

  • The attorneys at the firm focus on getting results in negotiations, litigation, and appeals alike.

  • Poole Shaffery provides information on the latest developments in business law matters and how they can affect you.

  • Super Lawyers
  • AV Preeminent
  • Themis Advocates Group
  • International Association of Defense Counsel
  • Super Lawyers Rising Stars
  • Trucking Industry Defense Association

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