If you deal in securities, you must also manage Securities and Exchange Commission (SEC) requirements. Considered a higher-risk area of the law, many attorneys will not handle matters concerning securities, especially if they involve a public company or international corporation. You may be hard-pressed to find legal representation that is willing to navigate these matters with confidence.
You can find that level of service at Hateley & Hampton. Our firm is based in Santa Monica, CA and serves clients worldwide. SEC regulations are a matter of routine for us and we will put in our best effort to handle your securities matters thoroughly and promptly.
Our experience involves several types of securities and their surrounding issues, including:
- Initial Public Offering (IPO) – It is an exciting development when you decide to offer public stock sales for your private company. Raise money well and within SEC guidelines with our legal assistance to help you. We increase the chances of a profitable IPO with the peace of mind that you are less likely to face compliance issues.
- Direct Public Offering (DPO) – An examination of your options may lead you to start with a DPO rather than an IPO. We have experience in this area too so we can assist with raising capital directly to support your future success.
- Private Placements – Start negotiating with investors by providing clear proposals. If accepted, the funding contracts we draft offer clarity to assure the investment meets your needs.
- Crowdfunding – Soliciting funds online to receive hundreds, if not thousands, of contributions for your efforts is all the rage. However, you can still find yourself afoul of regulations and even face excess taxation. Before you start a crowdfunding effort, give us a call.
Hateley & Hampton is here to support your investments and funding needs with our knowledge of securities law. Contact us today to schedule an appointment.