Securities & Finance

Baratta, Baratta & Aidala provides counsel and services related to federal and state securities laws and regulations for public and privately held companies, individual investors, investment advisors, broker-dealers, and corporate officers. Our attorneys have extensive experience in all areas of regulatory compliance, including registration of securities under the Securities Act of 1933, private placements under Regulation D of the Securities Act of 1933, shelf registrations, trading rules, exchange listings and registration under the state securities or Blue Sky laws.

Additionally, our attorneys have expertise in all aspects of disclosure under and compliance with the rules and regulations of the Securities and Exchange Commission, including the preparation and filing of periodic reports under the Securities Exchange Act of 1934 (such as Forms 10-K, 10-Q and 8-K), and beneficial ownership reports under Section 16 of the same act.

Through our experience, our clients quickly understand the effect of regulatory policy and formal and informal staff interpretations upon their operations.