Corporate and Securities Transactions

Austin Legal Group provides a proactive, professional approach to meeting your business needs. Our firm provides comprehensive services to businesses and organizations of all sizes and industries.  A brief summary of the types of specific services we offer is below. 


General Corporate / Business Law

Our general business services range from counseling entrepreneurs on what types of entities to form in order to best suit their needs, to how to navigate the liquidation and winding up a business no longer in use, and everything in between. Our experienced attorneys can help advise you on how to grow and expand their businesses using various strategies such as securities offerings, acquisitions, mergers, etc., and how to best implement your business plan. In addition, our firm provides guidance on general corporate transactions and agreements such as employment and consulting agreements, distribution agreements, licensing agreements, stock splits, debt financing, amending company governing documents, etc.


Entity Formation

One of the most significant early decisions your business can make is determining the best type of entity to use. Evaluating the benefits and drawbacks of the different options can be a difficult and complex task. Whether you want to form a partnership, a limited liability company (LLC), an S-corporation, a C-corporation, or some other entity, our firm can help you determine which structure is best suited for your business needs. We also prepare governing documents such as bylaws, shareholder agreements, operating agreements, and more, tailored to meet your specific business needs.


SEC Registration and Compliance

Austin Legal Group has extensive experience with SEC compliance issues, including registration statements and the periodic reporting requirements that follow.  We understand what issues the SEC usually comments on in registration statements and periodic reports, and we bring that experience to your project by identifying and anticipating issues in order to minimize the SEC comments.


Our areas of expertise include, but are not limited to:

  • Registration Statements (S-1, S-3, S-8, Form 10)
  • Regulation A Offering Statements (Tier 1 and Tier 2)
  • Periodic Reporting Obligations (10-Ks, 10-Qs, 8-Ks, etc.)
  • Control Person Ownership Disclosures (Schedule 13D/13G, Forms 3, 4 and 5)
  • Schedule 14A Proxy Statements
  • Schedule 14C Information Statements
  • Legal Opinion Letters (Rule 144, Section 4(a)(1), DTC Eligibility, etc.)
  • Private Placements including Regulation D Offerings
  • State Blue Sky Laws


OTC Markets Compliance

Austin Legal Group is proud to be an OTCQX and OTCQB Sponsor. We have years or experience helping companies comply with the alternative reporting requirements of In addition to our normal corporate and compliance consulting, we offer the following services to companies reporting on OTC Markets:

  • Attorney Letters with Respect to Adequate Current Information
  • Assistance with OTCQB Certification
  • Assistance with Annual Shareholders’ Meeting
  • Uplisting to the OTCQX® Best Market or OTCQB® Venture Market, as applicable
  • Uplisting to Nasdaq or other Securities Exchanges
  • Compliance Review for Quarterly and Annual Reports
  • Press Release Review


FINRA Notification

Our attorneys will be happy to help guide you through the complicated and often lengthy process of notifying FINRA of corporate transactions. Corporate transactions must usually be reported to FINRA if the company is subject to the reporting requirements of the SEC or OTC Markets and the transactions involve any of the following:

    • Stock Split
    • Merger or Acquisition
    • Name Change
    • Voluntary Ticker Symbol Change
    • Spin Off
    • Domicile Change
    • Rights Offering
    • Liquidation or Bankruptcy
    • Dividend or Distribution
    • Redemption

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Austin Legal Group attorneys share the common ideal of seeking the best solutions for our clients. We listen first and then advise on the best strategy to achieve our client’s goals.