From initial funding rounds to public disclosure obligations, we provide securities law counsel that scales with your business.
Securities Law
private placements & exempt offerings
Structuring and preparing Regulation D, Rule 506(b)/(c), Regulation A, or other exempt offerings for startups, funds, and operating businesses seeking to raise capital from private investors.
securities exchange listings
Guiding issuers through listing on Nasdaq, NYSE, or OTC Markets, including initial listing standards, uplisting, and ongoing compliance with exchange rules.
pipes & public offerings
Structuring private investments in public equity (PIPEs), registered direct offerings, and shelf registrations for publicly traded companies.
sec investigations & regulatory response
Defending clients in connection with SEC subpoenas, inquiries, or investigations, and advising on voluntary disclosures and enforcement risk mitigation.
public company compliance
Advising public companies on ongoing disclosure and reporting obligations under the Securities Exchange Act of 1934, including Forms 10-K, 10-Q, 8-K, and proxy statements.
fund formation & investment advisor compliance
Establishing hedge funds, private equity funds, and venture funds, and advising sponsors on state and SEC registration, Form ADV filings, and ongoing compliance obligations.
Broker-dealer regulation
Counseling broker-dealers and registered representatives on FINRA compliance, supervisory procedures, licensing, and regulatory filings.
regulation A (reg a+) offerings
Advising on mini-public offerings under Regulation A, including offering circular preparation, SEC qualification, and compliance with Tier 1 or Tier 2 requirements.
rule 144 & resale matters
Advising shareholders, officers, and affiliates on restricted securities, legend removal, holding periods, and public resale compliance under Rule 144.
blue sky compliance
Ensuring offerings comply with applicable state securities laws, including notice filings, exemptions, and coordination with Blue Sky counsel.
disclosure review & risk management
Drafting and reviewing offering documents, investor decks, and public disclosures to ensure compliance with antifraud provisions and minimize liability.
crowdfunding & alternative offerings
Assisting companies with securities offerings under Regulation CF or other alternative capital-raising frameworks involving online platforms and retail investors.