Securities Law

Southern California Securities Attorneys

At the Irvine, California, law offices of Oswald & Yap, our securities attorneys have substantial experience in all areas of public and private securities practice. We currently represent a substantial number of public companies, as well as private companies involved in raising capital though venture capital transactions and private offerings.

With more than twenty-five years of experience and a wealth of securities law knowledge and expertise, our firm is an excellent choice to provide you and your company with smart advice and detail-oriented representation. Whatever your securities law needs, our Southern California securities law attorneys will make sure every last detail is attended to and all requirements are met.

How Can We Help You?

We have advised our clients on the process of "going public," including representing them in their initial public offering (IPO), as well as continuing to represent them regarding 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, and all other required filings. Additionally, we have assisted our clients in raising money privately.

Securities law issues we deal with and services we offer include:

• Initial public offerings (IPOs)
• Secondary public offerings
• Selling shareholder registration statements
• Private offerings
• Intellectual Property Licensing, distributorships, and franchises
• Venture capital transactions
• Compliance with state "blue sky" laws
• Obtain quotation and listing of client securities on the National Association of Securities Dealers Automated Quotation Systems ("NASDAQ"), over-the-counter bulletin board ("OTCBB"), and American Stock Exchange ("AMEX")
• Review and advice relating to structuring transactions to come within specific securities laws exemptions to limit the costs of regulatory compliance and make otherwise uneconomic transactions profitable
• Sophisticated financing structures such as rights offerings, bond offerings with "equity kickers," bridge loans, preferred stock offerings, and stock splits
• Regulatory compliance with federal securities requirements for annual reports, quarterly reports, and other public company filing requirements, including compliance with the Sarbanes-Oxley Act (SOX compliance) and Rule 144
• Securities and commodities arbitrations

In addition to these services, our firm offers assistance to broker-dealers with securities issues, including compliance with federal and state securities laws and representation in connection with private and public financings.

Over 25 Years of Experience with Intellectual Property Law

Listed in the Bar Registry of Preeminent Lawyers since 1985, Oswald & Yap has ABOTA Certified (less than 3 percent of trial attorneys nationally) and AV Rated* attorneys on staff ready 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 us today.

We offer a free in-office consultation to all prospective clients and a willingness to work with clients regarding fee arrangements and costs. We are a minority-owned firm and WMBE certified business that is proud to serve clients from a wide range of nationalities. Our attorneys are fluent in Spanish, Korean, Mandarin, German, Taiwanese, Arabic, and French.

*CV, BV and AV are registered certification marks of Reed Elsevier Properties Inc., used in accordance with the Martindale-Hubbell certification procedures, standards and policies. Martindale-Hubbell is the facilitator of a peer review rating process. Ratings reflect the confidential opinions of members of the Bar and the Judiciary. Martindale-Hubbell Ratings fall into two categories – legal ability and general ethical standards.