NY, NJ, PA Legal Services Provider | Norris McLaughlin & Marcus, P.A.

The Securities Law Group at Norris McLaughlin & Marcus is experienced in dealing with both federal and New Jersey securities law matters. We represent clients attempting to raise investment capital from private placements and venture capital deals to registered firm commitment underwritten offerings of securities. Our experience with securities registration also includes matters ranging from stock option plans to dividend reinvestment plans. We are well acquainted with SEC Rules 144 and 145 and frequently deal with the resale of unregistered stock by executives and the impact of the securities laws on merge transactions. We regularly represent public companies in dealing with compliance and anti-fraud issues under the Securities Exchange Act of 1934, as amended, including (i) proxy statements, (ii) periodic reports (Form 10-K and 10-Q), and (iii) inside stock trading and compensation plans (Form 3, 4 and 5 and the rules under Section 16[b]). We have also advised a number of public clients on available takeover defenses, including supermajority voting requirements and "poison pills" and are acquainted with the Williams Act provision of the 1934 Act.

We have particular knowledge about state securities laws, especially New Jersey’s. One of the members of our Group served as Chair of the Securities Advisory Committee to the New Jersey Bureau of Securities from 1995-2001. Appointed by the New Jersey Attorney General, he has been a member of the Committee since its founding in 1994, supervising work on the wide-scale revision to New Jersey’s law which was signed into law December 24, 1997. The group has regularly worked on matters before states, especially in the Northeast and Mid-Atlantic Regions.

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