Securities

The federal and state securities laws are complicated and often byzantine.  In addition to minimizing liability exposure, complying with securities laws enhances a company’s value as it contemplates investments and other strategic transactions.  We have extensive experience advising companies on securities issues that commonly arise, whether in connection with private placements, equity-based compensation, or business combinations.

We take a proactive approach in working with boards and management to plan for capital raises to identify and manage the securities compliance issues ahead of time to ensure an efficient and effective funding process. We can also help companies that have already sold securities review previous transactions to locate and correct any securities compliance issues in anticipation of a future financing round or business loan.  Additionally, our attorneys are well-versed in the securities issues that arise in connection with mergers and acquisitions.

“SLG provided us full investor information documents for a new round of financing in a turnaround situation with a complicated past.  This was far from a vanilla deal, but one that SLG handled very efficiently and to which their practical insights added considerable value.   We could not be more pleased.”

Ben Dyer
CEO, MediaSode, LLC