Securities Law
Navigate complex securities regulations and compliance requirements
Expert Securities Law Guidance
Securities laws govern how companies raise capital and how securities are bought and sold. At Lighthouse Legal Counsel, our experienced securities attorneys help businesses navigate this complex regulatory landscape while meeting their capital-raising objectives.
Whether you're conducting a private placement, planning for an initial public offering, or managing ongoing compliance obligations, our team provides strategic guidance to help you achieve your goals while mitigating risk and maintaining compliance with federal and state securities laws.
Our Securities Law Services Include:
Private Offerings & Exempt Transactions
We guide companies through private placements and other exempt offerings under Regulation D, Regulation A+, Regulation CF (crowdfunding), and other exemptions. Our services include structuring offerings, preparing private placement memoranda, subscription agreements, and other offering documents, and managing regulatory filings.
Securities Compliance
We help companies establish and maintain compliance with federal and state securities laws, including ongoing reporting requirements, insider trading policies, and disclosure obligations. Our team provides guidance on navigating complex regulatory frameworks while maintaining business flexibility.
Public Company Compliance
We assist public companies with their SEC periodic reporting obligations, including the review and drafting of 10-Qs, 10-Ks, 8-Ks, and Proxy Statements. Our team also prepares Forms 3, 4, and 5 for insiders and helps companies maintain compliance with SEC disclosure requirements and securities laws.
Securities Transactions
We represent buyers, sellers, and intermediaries in securities transactions, including mergers and acquisitions involving public and private companies, tender offers, and going-private transactions. Our team addresses securities law considerations while helping clients achieve their transaction objectives.
Financing Transactions
We provide expert guidance for companies raising capital through private placements. Our team helps structure these transactions to comply with securities laws while meeting your capital-raising objectives.
Navigating Securities Regulations
Securities regulations are constantly evolving, creating both challenges and opportunities for businesses. Our approach focuses on:
Risk-Based Approach
We help you identify and assess securities law risks specific to your business and develop targeted strategies to address them.
Practical Solutions
We provide practical, business-minded advice that balances regulatory compliance with your operational needs and growth objectives.
Proactive Compliance
We help establish robust compliance programs to prevent violations before they occur and demonstrate your commitment to regulatory compliance.
Regulatory Monitoring
We track regulatory developments and emerging trends to help you anticipate and adapt to changes in securities laws and regulations.
Need Securities Law Guidance?
Schedule a consultation with our securities law team to discuss your specific needs and objectives.
Contact Us TodayRelated Services
Private Placements
Specialized services for private securities offerings and investments.
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