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About Securities Law

The firm’s securities attorneys assist business clients in determining alternatives available for raising capital and in implementing the sale of securities with whatever qualification or filing is required with the SEC or state regulatory body. Of significant benefit to our clients is the attorneys’ awareness of the available alternative means of raising capital and the avoidance of regulatory difficulty. The attorneys provide assistance in the following areas:

  • Preparation of periodic reports required by the SEC (including proxy statements and periodic reports)
  • Advice on the regulation of the sale of publicly-held securities
  • Structuring and implementation of private placement of securities under Regulation D of the SEC and state securities laws
  • Preparation of materials offering securities under federal and state securities law
  • Broker/dealer regulation and the regulation of investment advisors
  • NYSE and NASDAQ representation
  • 1933 Act Registration Statements and 1934 Act Registrations
  • Investment Company Act/Investment Advisors Act
  • Sarbanes-Oxley implications to both public and private companies and not-for-profit entities
  • Intra-state offerings
  • Tax-exempt 501(c)(3) Bonds
  • Franchising