Capital Markets and Securities

The attorneys in the firm’s Capital Markets and Securities Group have extensive experience with assisting our clients in all aspects of capital raising and compliance with federal and state securities laws. We assist investment advisors, start-up entities, established companies, issuers and individuals in a variety of capital markets transactions including non-issuer sales, private placements, public corporate bond offerings and tax-exempt bond financings.


We also routinely provide proactive assistance and practical solutions to our clients in regards to ongoing regulatory matters, including issues arising under the Securities Act of 1933, the Securities Exchange Act of 1934, Sarbanes-Oxley, NSMIA, the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Investment Advisors Act of 1940, the Investment Company Act of 1940, the Trust Indenture Act of 1939, the Commodity Futures Modernization Act of 2000, FINRA and U.S. stock exchange rules and regulations, as well as matters arising under state (“blue sky”) securities laws and regulations.


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