Corporate Finance & Securities

Do you know what your Blue Sky reporting requirements are? We do. From start-up to established operation, we can guide you through all aspects of your capital raising.


Whether your company is just forming or has been firmly established for years, access to capital for growth is critical. At the same time, capital raising activities are closely regulated and your funding pursuit will benefit from knowledgeable counsel.

We can counsel you through the host of compliance and disclosure issues that arise under federal and state securities laws relating to transactional matters and will alert you to the reporting obligations of issuers and reporting persons.

Our experience and familiarity with the structure of the securities markets and the roles of various market participants provides a basis for assisting you with structuring and administering securities investment related activities. We also address and resolve securities law aspects of compensation and benefit programs.

Our approach to transactional compliance identifies structural solutions to registration and exemption issues appropriate to your immediate and long-range needs in both the public and private markets in all 50 states. This assistance becomes instrumental with:

  • Public and private offerings
  • Tender offers
  • Acquisitions necessitating compliance with the Securities Act and the Securities Exchange Act
  • Matters arising under the Investment Company and Investment Advisers Act
  • Proxy filings
  • 1934 Act reporting requirements for officers, directors, and certain security holders
  • SEC disclosure requirements for annual and periodic reports and proxy solicitations
  • Corporate governance
  • Compliance with stock exchange listing standards and securities laws, including:
    • Section 16
    • Rule 144
    • Rule 10b5-1
    • Sarbanes Oxley
    • Regulation FD
    • Dodd-Frank Act