Information on Firm Operations

Securities

The ability of a company to raise financing in the capital markets can sometimes mean the difference between the success or failure of that business venture. Yet the sale of securities is an intensely regulated area, and companies need to be extremely careful not to run afoul of these regulations. Failure to comply with federal and state securities laws not only can create extensive liabilities at the time of the violations, but can also make it difficult, if not impossible, for the company to go back to the capital markets for years afterwards.

Lindabury has for decades helped its clients to navigate the complex requirements of the federal and state securities laws, including private placement securities offerings, angel financing, venture capital investments, Rule 504 offerings, Rule 505 offerings, Rule 506 offerings, SEC filings, blue sky compliance and filings, Regulation S offerings, Accredited Investor offerings, Rule 701 offerings of stock and stock option compensation, broker-dealer regulation, investment advisor regulation, Rule 144 resales of securities, insider trading issues, securities issuances in connection with mergers and acquisitions, due diligence investigations, assisting clients in the preparation of disclosure materials to meet the demands of federal and state anti-fraud requirements, preparation of warrant agreements, preparation of stock option plans and stock option agreements, establishment of preferred stock or convertible debenture terms, preparation of registration rights agreements, and the preparation of investor questionnaires and subscription materials.