Securities Law
Part-Time General Counsel
Corporate Law

Mr. Lawrence has 20+ years of experience with large and small law firms and as an in-house general counsel for two different companies.  He focuses his practice in the areas of securities, representing individuals and companies in compliance with the registration and reporting provisions of state and federal securities laws, representing buyers and sellers in mergers and acquisition transactions and in general corporate matters...


Large Firm Expertise
Small Firm Service

Utah Securities Attorney Richard J. Lawrence

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The Securities Attorney - Law Firm

Securities Law

As a premier Utah securities lawyer, Mr. Lawrence can expertly guide your business through compliance with state and federal securities laws.  Whether your company is seeking to raise funds in a private placement, register securities for a public offering, or complying with the reporting requirements of a public company, Mr. Lawrence, as a premier Utah securities attorney, can provide the legal assistance that you need.

The sale of any security (broadly defined) must be registered with the United States Securities and Exchange Commission under the Securities Act of 1933 and the applicable state securities laws (Blue Sky Laws) or be issued under an applicable exemption.  Mr. Lawrence can provide the expert advice and guidance that is necessary to comply with these laws.  Failure to comply with these laws can result in civil and criminal liability.

Regulation D, usually referred to as a private placement, is the exemption most often utilized to comply with securities laws.  The regulation requires the proper preparation and distribution of a Private Placement Memorandum (PPM).  Mr. Lawrence has prepared many PPM's for a wide variety of businesses in Salt Lake City, Utah and other jurisdictions.  He can assist you in compliance with the applicable laws, rules and regulations.

Whether you desire to take your company public on the Pink Sheets (OTC Pink Sheets), the OTCBB (Over the Counter Bulletin Board), the NYSE (New York Stock Exchange), the NASDAQ (National Association of Securities Dealers Automated Quotations), or the AMEX (American Stock Exchange), Mr. Lawrence can provide the necessary legal services to guide your company through the process of becoming a publically traded company.  He is a seasoned and experienced securities lawyer with over 20+ years of experience in SEC filings and SEC law.  Even if you have an existing law firm, Mr. Lawrence can assist in organizing and preparing documents to reduce the time and costs of going public.  He can combine his comprehensive knowledge of the law with an intimate understanding of the client's business and objectives.

As an experienced Utah securities attorney, Mr. Lawrence can assist your public company in complying with the Securities Exchange Act of 1934, including the review and preparation of periodic reports on Forms 10-K, 10-Q, 8-K and shareholder communications filings for proxy statements.  He regularly advises companies on all aspects of compliance with Securities and Exchange Commission rules and regulations.

If you have a securities law question, call or e-mail Mr. Lawrence.