Securities Compliance
We counsel issuers and investors on compliance with federal and state securities laws. Our practice covers private placements (Reg D), exempt offerings, disclosure obligations, blue sky compliance, and securities law implications in M&A, fund formation, and executive compensation.
FAQs:
Q: When is SEC registration required?
A: Registration is required unless an exemption applies. We help structure offerings to fall within Regulation D, A, or S exemptions.
Q: Do you assist with investor disclosures?A: Yes. We draft offering memoranda, risk factors, and investor letters to meet disclosure obligations and mitigate liability.