At Prego Law Group PLLC, we deliver tailored legal services for broker-dealers, investment companies, and institutional clients, with a focus on licensing, regulatory compliance, and navigating the securities landscape. Our expertise spans the complex requirements of OTC markets, providing swift and reliable 144 opinion letters, and ensuring you stay compliant with SEC and FINRA regulations. 

Key services include: 

• OTC Securities Representation: Guidance on OTC market listings, uplisting strategies, and compliance for small to mid-sized companies. 

• Opinion Letters: Comprehensive Rule 144 opinion letters, including legend removal and restricted stock sales. 

• SEC & FINRA Compliance: Expert counsel through registration, membership, and regulatory filings. 

• Investor Representation: Advocating for investors in litigation and FINRA arbitration. 

• Corporate Governance & M&A: Support in corporate governance, mergers, and acquisitions. 

• AML, KYC, & OFAC Compliance: Ensuring compliance with anti-money laundering standards and avoiding enforcement actions. 

We also offer services in private placements, Blue Sky compliance, crowdfunding, and reverse mergers—helping you raise capital and grow in today's evolving markets. 

Let us handle the legal complexities while you focus on growing your business. Prego Law Group PLLC is here to be your trusted partner in securities law.