Anslow + Jaclin's securities practice encompasses all areas of federal, state, and foreign securities laws including general representation of publicly and privately held corporations.
We counsel clients on a variety of securities matters and transactions such as reverse mergers, PIPE financings, registration statements, 1934 Exchange Act filings, compliance with the Sarbanes-Oxley Act of 2002, private placement offerings and "blue sky" filings.
We have been ranked by:
- SEC New Registrations Report as one of the Top 15 Issuer's Counsel in the United States for Pre-Effective IPOs since 2001 and ranked 3rd for 2010
- The PIPEs Report published by Deal Flow Media, Inc. as one of the top 10 Issuer Legal Counsel in the United States for number of placements advised and ranked 6th for 2011
Securities Registration, Listing + Compliance
Our professionals have significant expertise in drafting, filing and procuring effective SEC registration statements and with counseling clients on SEC compliance issues, including the Sarbanes-Oxley Act of 2002 and the 1934 Exchange Act periodic reporting obligations. With the emergence of the Sarbanes-Oxley Act of 2002, public companies are subject to increased disclosure requirements and new corporate governance requirements for securities traded on the Nasdaq, NYSE, AMEX, OTCBB, Pink Sheets, etc. Our representation of hundreds of public companies over the years has allowed us to obtain unprecedented knowledge and experience with these new requirements and with the SEC registration and reporting requirements that all U.S. public companies are subject to under the U.S. securities laws and regulations. At Anslow + Jaclin, we leverage our extensive experiences in working with the SEC on comments to registration statements and periodic filings to minimize the amount of comments on our registration statements and periodic filings. Our burgeoning experience also allows us to effectively counsel companies on compliance with state Blue Sky laws and other securities law issues such as reorganizations, recapitalizations, board of director and shareholder issues, and employee stock option plans (ESOPs).
Additionally, we also represent issuers in assisting FINRA registered broker/dealers in the Form 15c211 process to obtain stock quotations on the Over the Counter Bulletin Board (OTCBB) and Pink Sheets, OTCOX Markets, and with national and international exchange listing applications and regulations for the Nasdaq, NYSE, AMEX and London's AIM Market.
Our extensive representation of emerging companies has provided us with a wealth of experience in corporate finance transactions. We are one of the most active firms in the country in representing issuers in public and private debt and equity offerings, including private equity, Private Investment in Public Equity (PIPEs), venture capital, Standby Equity Distribution Agreement (SEDAs), secondary offerings, Regulations D and S offerings, convertible debt, secured and unsecured loans, and bridge financings. Anslow + Jaclin is consistently ranked by Deal Flow Media among the top 20 law firms nationwide in representing issuers in PIPE transactions. We use our extensive relationships in the investment community to introduce clients to sources of capital and have helped our clients raise millions of dollars.
At Anslow + Jaclin we have successfully taken numerous private companies public through reverse mergers, direct public offerings by filing a registration statement and underwritten IPOs. We specialize in going public transactions utilizing a reverse merger and PIPE offering which provides companies with an alternative method of going public without an underwriter. This alternative public offering is considerably quicker and less expensive than a traditional IPO and provides the same capital-raising of a traditional IPO.
- Represented a Business Development Company (BDC) in obtaining a $25,000,000 SEDA
- Represented a IT consulting company in obtaining a $20,000,000 SEDA
- Represented a mining and exploration issuer in raising net proceeds of $10,000,000 through a private placement
- Represented a multimillion dollar media and entertainment company going public through a alternative direct public offering utilizing a share exchange coupled with PIPE financing
- Represented numerous issuers in pre-effective IPOs
- Represented a mortgage brokerage company in a $6,000,000 equity offering
- Represented a development stage oil and gas company in a convertible debt offering in excess of $5,000,000
- Represented various issuers in $2,000,000 PIPE financing transactions