We provide securities compliance for entrepreneurs, founders, startups, hedge funds, private equity funds, cryptocurrency hedge funds, investors, shareholders and established companies in connection with various types of securities transactions, including:
Compliance with federal and state securities law requires a thorough understanding of the following statutes and their associated rules and regulations.
Every issuance of equity or debt in a corporation, partnership or LLC in the U.S. must comply with federal and state securities laws and their associated securities regulations. These statutory requirements apply to issuances to founders, employees, consultants, investors and partners. Certain equity and debt issuances, including most public offerings of equity and debt, require registration with the SEC. When companies issue equity and debt securities they may rely on an exemption from registration.
The issuance and transfer of equity or debt securities is subject to numerous restrictions and compliance requirements. Failure to comply with issuance, transfer restrictions and compliance requirements when issuing or transferring equity or debt securities can result in civil or criminal enforcement actions, monetary penalties, private litigation, and the inability to complete a financing or other corporate finance transaction. It is imperative that companies consult with experienced counsel before beginning any capital raising efforts or other securities related transactions.