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SEC Filing Review and Legal Compliance

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Rate:
0
Publication date: 19.07.2025
Reading time: 4 minutes
Number of views: 48
№ Stage Term (days) Cost
  • 1
    Stage 1. Initial Assessment and Corporate Documentation Review
    5 $1,452.00

    Stage 1. Initial Assessment and Corporate Documentation Review

     

    Attorney's actions:

    • Conducting initial client consultation regarding SEC filing objectives (e.g., IPO, Regulation D, Form D, 10-K, 8-K, etc.)
    • Reviewing company charter documents (Operating Agreement, Bylaws, Certificate of Incorporation)
    • Evaluating existing compliance policies (anti-fraud, insider trading policy, etc.)
    • Determining scope of documents requiring SEC submission
  • 2
    Stage 2. Submission Readiness Audit and SEC Compliance Verification
    10 $3,993.00

    Stage 2. Submission Readiness Audit and SEC Compliance Verification

     

    Attorney's actions:

    • Review of financial statements (audit reports, balance sheets, profit & loss statements) for GAAP/IFRS compliance
    • Analysis of Risk Factors disclosure and Business Description
    • Verification of compliance with Securities Act 1933 and Securities Exchange Act 1934
    • Preparation of deficiency report with recommendations
  • 3
    Stage 3. Document Editing and Finalization for SEC Submission
    14 $5,445.00

    Stage 3. Document Editing and Finalization for SEC Submission

     

    Attorney's actions:

    • Drafting or correcting documents: Form D, S-1, 10-K, 8-K, 20-F, depending on type of filing
    • Applying legal phrasing to ensure disclosure compliance with SEC requirements
    • Implementing revisions based on audit findings or accountant/auditor comments
    • Coordination with financial advisor and CPA
  • 4
    Stage 4. Document Submission and SEC Review Process Support (if required)
    20 $6,655.00

    Stage 4. Document Submission and SEC Review Process Support (if required)

     

    Attorney's actions:

    • Filing documents via EDGAR system (SEC's official portal)
    • Company registration and verification in the system
    • Communication with SEC representatives regarding Comment Letters
    • Preparing responses and document revisions to address SEC inquiries
  • 5
    Stage 5. Post-Filing Compliance and Internal Control Policy Development
    7 $3,388.00

    Stage 5. Post-Filing Compliance and Internal Control Policy Development

     

    Attorney's actions:

    • Development/updating of internal compliance policies (Whistleblower Policy, Code of Ethics, Internal Controls)
    • Conducting training sessions for management and responsible personnel
    • Establishing monitoring and reporting procedures per SEC requirements (e.g., Section 16 reporting)
In general
56 $20,933.00

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SEC Document Review: Essential Legal Support Every Company Needs

Compliance with U.S. Securities and Exchange Commission (SEC) requirements is mandatory for entering investment markets, raising capital, securities registration, or regular reporting. Documentation errors may lead to sanctions, registration denials, or criminal liability. Legal document review helps identify risks, eliminate discrepancies, and prepare complete SEC-compliant documentation packages.

 

SEC Document Review Service Components

Our comprehensive SEC compliance legal services include:

  • Analysis and legal review of Forms 10-K, 10-Q, 8-K, S-1, Reg A, Form D and other SEC filings;
  • Verification of registration documents, financial statements, disclosures, and corporate data;
  • Document revisions compliant with SEC, GAAP, Regulation S-K, Regulation D, Regulation A requirements;
  • Legal support for SEC correspondence (including comments and inquiries);
  • Development of internal policies and procedures for long-term compliance.

 

Why Engage an SEC Compliance Lawyer

Professional approach helps avoid common pitfalls:

  1. Misrepresentation that may constitute fraud;
  2. Inadequate risk disclosure violating reporting rules;
  3. Late filings or missing amendments.

Our attorneys adapt documents to latest SEC regulations, considering company type (public, private, foreign entity, startup) and objectives (investor relations, IPO, periodic reporting).

 

Attorney's SEC Document Review Process

  • Evaluates completeness and accuracy of disclosures;
  • Identifies violations or risks under federal law;
  • Conducts due diligence and prepares recommendations report;
  • Makes revisions and prepares client-approved document versions;
  • Represents clients before SEC or in auditor/investor communications.

 

Eligibility for SEC Compliance Review Services

Legal services are available for companies:

  • Planning or conducting U.S. securities offerings;
  • Raising capital under Regulation D or Regulation A;
  • Required to file regular SEC reports;
  • Undergoing audits or preparing for IPO, SPAC, or reverse merger.

 

Additional Benefits of Working With Our Attorneys

  • Enhanced investor and exchange confidence;
  • Reduced legal liability risks;
  • Preparedness for SEC inquiries and examinations;
  • Professional adaptation to U.S. regulatory changes.

 

 

SEC document review legal support isn't just "paperwork" - it's a strategic investment in your company's reputation and future. Consultant team ensures this process is completed with maximum confidence and minimal risk.

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  • Is your company planning to enter the U.S. investment market?
  • Do you need legal review of documents before submitting to the SEC?
  • Has your company filed forms like 10-K, 10-Q, S-1, or other SEC filings?
  • Have you received comments or requests from the SEC?
  • Are you raising capital under Regulation D or Regulation A?
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