SEC Reporting

Securities laws and regulations are extremely complex and subtle, needing years of experience to efficiently manage them. We are focused on ensuring that you are compliant in submitting and reporting the following:

  • Securities Act of 1933

  • Securities Exchange Act of 1934

  • Jumpstart Our Business Startups (JOBS) Act of 2012

  • Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010

  • Investment Company Act of 1940

  • Investment Advisors Act of 1940

  • Trust Indenture Act of 1939

  • Sarbanes-Oxley Act of 2002

Blue Sky Laws

Each state has its own securities laws that govern the issuing and sale of securities, referred to as "blue sky" laws. Each state also has its own agency that enforces these rules and provides investors with private causes of action for securities fraud. We've helped our clients negotiate these state-specific restrictions all around the country. We ensure that our clients are in compliance with the federal SEC as well as state regulations.

Compliance Audits

Randall & Associates conducts compliance and securities law audits for customers that want to improve or rectify their filings with the SEC or state agencies. We also revise and improve offering documentation such as private placement memorandums, pitch decks, and so on to ensure their defensibility in the event of investor claims or an SEC inquiry.