Avinash V. Ganatra - Securities / Financial Regulatory Experience

 

• Advised U.S. and international corporations and financial and banking institutions on complying with the Securities Act of 1933 and Securities Exchange Act of 1934 and rules and regulations thereunder governing public offerings, private placements and M&A transactions.

 

 

• Advised companies with complying with their periodic reporting obligations under the Exchange Act, including the preparation of proxy statements and Form 10-Ks, 10-Qs and 8-Ks. 

 

 

• Advised clients on FINRA regulations, including RN 10-22 private placement rules and Rule 5122 / 5123 filings.

 

 

• Counseled clients on the listing and corporate governance rules of the NYSE and NASDAQ.

 

 

• Provided regulatory compliance advice with respect to the Investment Advisers Act of 1940, Investment Company Act of 1940, Dodd Frank Act, JOBS Act, Sarbanes Oxley Act and regulations thereunder affecting capital raising, reporting and financial regulatory matters.