Corporate and Securities Laws

The APO® process not only requires a thorough understanding of general securities laws, it requires specific knowledge relative to this type of transaction. HFG draws upon the expertise of our in-house securities attorney together with the resources provided through arrangements with several national law firms.

Areas that pertain to the APO transaction include:

Transaction closing and related documents

  • Merger or Exchange Agreements
  • Offering Documents
  • Proxy Material

SEC Filings

  • Form 10
  • Forms 10-K, 10-Q, 8-K
  • Registration Statements

Listing Activities

  • 15c2-11
  • NASDAQ and NYSE