California Private and Public Securities law 

Our corporate and securities attorneys have experience in all areas of public and private securities law. We currently represent a number of public companies, as well as private companies involved in raising capital through venture capital transactions and private offerings.

We advise clients on the “going public” process, including representing them in their initial public offering (IPO). We then continue representation of our clients as public companies in their reporting requirements to the Securities and Exchange Commission (SEC), such as the preparation of their annual report on Form 10-K, quarterly reports on Form 10-Q, proxy statements, all other required SEC filings and Sarbanes-Oxley (SOX) compliance.

Oswald & Yap’s securities experience includes:

• Initial and secondary public offerings
• Obtaining quotation and listing of client securities on the National Association of Securities Dealers Automated Quotation System (NASDAQ), American Stock Exchange (AMEX), and the Over-the-Counter Bulletin Board (OTCBB)
• Regulatory compliance with federal securities requirements for annual reports, quarterly reports, and other public company filing requirements
• Selling shareholder registration statements
• Private offerings and private placement memorandums (PPMs)
• Mergers and acquisitions
• Venture capital transactions
• Compliance with state “blue sky” laws
• Structuring transactions for compliance with specific securities laws exemptions, aimed at limiting regulatory costs
• Structuring otherwise uneconomic transactions to become profitable
• Sophisticated financing structures such as rights offerings, bond offerings with “equity kickers,” bridge loans, preferred stock offerings, and stock splits
• Compliance with the Sarbanes-Oxley Act of 2002 (SOX)
• Rule 144 legal opinions for legend removal from stock certificates
• General securities, corporate, contractual, business, and transactional matters

Focused on Business, Securities and Real Estate for Over 25 Years

Listed in the Bar Registry of Preeminent Lawyers since 1985, Oswald & Yap LLP has ABOTA Certified (less than 3% of trial attorneys nationally) and AV Rated* attorneys to assist you. To find out how we can help you make the most of your business opportunities and real estate investments, both domestic and abroad, contact our Irvine lawyer today.

*AV is the highest possible rating of Reed Elsevier Properties Inc., used in accordance with the Martindale-Hubbell certification procedures which are based on legal ability and ethical standards.