We practice securities law with skill and experience.

Our securities practice includes all aspects of federal and state securities laws. Thoroughly knowledgeable about technical regulatory matters integral to the practice of securities law, our attorneys also employ their business law skills to generate practical solutions and strategies for clients.

We are experienced in structuring private offerings, from the initial capitalization of start-up companies to private offerings by public companies of up to $50 million, public debt and equity offerings, registered secondary sales, and offshore offerings utilizing Regulation S. Our securities attorneys also have extensive experience in securities compliance matters, both at the federal and the state level, including working with the Staff of the Securities and Exchange Commission, as well as representatives of the AMEX, NYSE, and NASD. Additionally, we are versed in the Investment Company Act, principally concerning securing exemptions, although we also have experience with compliance with both Acts.

We also work with closely held businesses, designing equity-based programs for their executives and employees to enable compliance with applicable federal exemptions and to obtain approvals from various state blue-sky authorities.

Expertise

  • Private and public offerings
  • Compliance
  • Investment Company and Investment Advisor Acts
  • Equity-based compensation