If you are in need of legal assistance with any aspect of SEC reporting and compliance issues call at 1.888.978.9901 or contact us online without delay. The firm's founder, Attorney Adam S. Tracy, J.D., M.B.A. has a strong background in criminal and business law and extensive knowledge in the area of securities law and is able and willing to help you.

Count on us for complete guidance and services for drafting, reviewing and filing securities registration statements. Our attorneys have extensive experience of dealing with SEC compliance issues on behalf of our clients. Get in touch with us for all kinds of SEC company filings. These include Form 8-k, SEC Form 10 and other compliance obligations under the Securities Act of 1933 and the Securities Exchange Act of 1934.

Publicly traded companies are required to provide the U.S. Securities and Exchange Commission (SEC) with certain financial reports and disclosures, which provides shareholders with important information about how these companies are performing. Public companies that fail to properly submit these filings take the risk of being out of compliance with the SEC, which can lead to negative repercussions such as de-listing from the stock exchange.

The SEC’s financial reporting requirements and other requirements of regulatory compliance can be extremely technical, which is why our law firm, Securities Compliance Group, is here to provide assistance. Our experienced SEC attorney helps clients draw up the appropriate documentation and ensure that that SEC reporting deadlines and being met. Here are some of the various areas in which we can provide assistance:

  • Current reports (Form 8-K, announcing major events to shareholders)
  • Quarterly reports (Form 10-Q)
  • Annual reports (Form 10-K)
  • Other disclosure requirements (such as disclosures of executive compensation)

Assistance with Corporate Governance

Part of helping a public company remain in compliance with the SEC is ensuring that strong corporate governance is in place. If there any corporate governance issues, these need to be handled by a knowledgeable legal professional who truly understands the dynamics of these types of issues. Here are just a few of the various types of corporate governance matters our law firm addresses:

  • Board of Directors issues (including Board independence)
  • Structure of board committees
  • Compliance with fiduciary duties
  • Establishment of policies (such as those concerning insider trading and ethical standards)
  • Succession policies for the CEO and senior management

At The Tracy Firm, we are able to assist with many other types of financial reporting and corporate governance issues in addition to the ones mentioned above. The firm’s founder, Attorney Adam S. Tracy, has a strong background in business and extensive knowledge in the area of securities law. While our firm’s offices are located in Wheaton, Illinois and Beverly Hills, California, we serve clients throughout the United States. Call 1.888.978.9901 now or contact us online!


Adam S. Tracy, J.D., M.B.A.

Attorney Adam Tracy has a strong background in all facets of commercial law and extensive experience in litigating complex commercial disputes, and is able and willing to help. He is also a well-versed legal scholar in the United States copyright law. A former competitive rugby player and serial entrepreneur, Adam Tracy has a wealth of experience on both sides of the table. He has advised many companies with regards to legal issues, law compliance and capital markets matters.

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