Securities Law Firm Advises on Investment Services and Company Governance

A securities law firm can provide expert advice on investment services and company governance.

They can help clients navigate the complexities of securities regulations.

Their expertise can be invaluable for companies looking to raise capital or expand their operations.

By working with a securities law firm, companies can ensure compliance with relevant laws and regulations.

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Our securities law firm has extensive experience in broker-dealer regulation, assisting clients with the formation and ongoing compliance of securities broker-dealers. We represent broker-dealers and other securities professionals in their capital market transactions and regulations.

Our attorneys advise on all aspects of U.S. federal and state securities and commodities laws, including regulation by the national securities exchanges, FINRA, and other self-regulatory organizations. This expertise ensures that our clients are well-equipped to navigate the complex landscape of broker-dealer regulation.

We assist clients with regulatory audits, continuing education, licensing, and enforcement matters, helping them to maintain compliance and avoid costly fines or penalties. Whether you're a small startup or a large established firm, our team is here to guide you through the intricacies of broker-dealer regulation.

Here are some key areas where our team can provide assistance:

By working with our experienced team, you can ensure that your broker-dealer operation is compliant with all relevant regulations and laws, allowing you to focus on growing your business and serving your clients.

Dispute Resolution is a critical aspect of securities law.

We handle complex litigation matters, including arbitrations and regulatory investigations.

Our team of experienced attorneys can resolve securities disputes through negotiation, arbitration, or litigation.

We're well-versed in handling cases involving securities fraud, and can guide you through the process.

Litigation involving sales practices claims, employment discrimination claims, and U-4 and U-5 defamation claims are also within our expertise.

In some cases, proceedings may involve parallel criminal and civil proceedings, or administrative hearings.

We'll work with you to navigate these complex issues and achieve a favorable outcome.

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Our Investment Services team is well-equipped to handle the complex needs of entrepreneurs and businesses. We assist in representing entrepreneurs starting up new enterprises.

We review business plans and strategies to ensure a solid foundation for success. This includes negotiation with funding sources.

We work closely with clients to navigate various rounds of financing, including private placements. Our experience in initial public offerings and secondary public offerings is also invaluable.

Our team has a deep understanding of the investment banking and venture capital landscape. We use this expertise to guide clients through every step of the process.

A securities law firm's company matters are crucial to its success. The firm's leadership team is typically composed of experienced attorneys who have a deep understanding of securities laws and regulations.

In terms of company structure, a securities law firm is usually a partnership or a limited liability partnership (LLP). This structure allows the firm to be owned and operated by its attorneys, who are also responsible for making key decisions.

The firm's attorneys are often organized into practice groups, each focusing on a specific area of securities law, such as initial public offerings (IPOs) or mergers and acquisitions.

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Company Governance is crucial for any business, and it's not just about having a board of directors. Our attorneys at Stark & Stark's Investment Management & Securities Practice can help with the establishment of various entities, including corporations, limited partnerships, general partnerships, limited liability companies, business trusts, and other companies.

The process of setting up a company can be complex, but with the right guidance, it can be a smooth one. Our attorneys will assist clients with the issuance of securities, preparation of company minutes and resolutions, and assistance with change of control and related matters involving governance of the entity.

Having a solid company governance structure in place can help prevent disputes and ensure that decision-making processes are transparent and fair.

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If you're considering a public or private securities offering, it's essential to understand the requirements and regulations involved.

Debt and equity financings are subject to federal law, including SEC and Utah Division of Securities requirements. Securities listed on major exchanges, such as the New York Stock Exchange, are also subject to these regulations.

Private placements of securities are exempt from securities law registration requirements when offered under statutory exemptions or under Rule 505 or Rule 506 of Regulation D. This means that even though they're exempt, the sale of securities still needs to meet federal and state antifraud, full and fair disclosure, resale limitations, and other requirements.

To raise an unlimited amount of capital from accredited investors, issuers can rely on Rule 506 of Regulation D. However, if they want to sell securities to non-accredited investors, they're limited to 35 such investors who must be sophisticated investors.

Rule 505 of Regulation D provides a safe harbor for Utah private placements, allowing issuers to raise up to $5 million over a 12-month period without registering the transaction. However, the securities issued under this exemption are restricted, and investors may not sell them for at least two years without registering the transaction.

Here's a summary of the key differences between Rule 506 and Rule 505:

By understanding these regulations and requirements, you can ensure that your securities offering is compliant and successful.

At a securities law firm, you can expect expert counseling and representation on a wide range of matters. Our team has extensive experience advising clients on the issuance of securities, including debt and equity financings.

We can help you navigate the complex requirements of the SEC and Utah Division of Securities, ensuring that your company is in compliance with all applicable laws. Securities listed on major exchanges, such as the New York Stock Exchange and Nasdaq, are subject to federal law.

Private placements are also a key area of focus for us. We can guide you through the process of offering securities to accredited and non-accredited investors, including the use of Rule 505 and Rule 506 of Regulation D.

Our team is well-versed in the nuances of exempt offerings, including private placements and Rule 144A offerings. We can help you determine the best approach for your company's specific needs.

Here are some key points to consider:

We also provide practical legal advice on a full spectrum of corporate finance and securities matters, including corporate governance, public offerings, SEC reporting, mergers and acquisitions, and more. Our team has a wide range of experience across multiple industries, including industrial and manufacturing, financial services, and technology.

Our securities law firm has a proven track record of handling complex matters for our clients. We've worked with a local community bank on a private syndication, providing lead counsel to ensure a smooth transaction.

We've also assisted a bank holding company in rewriting and implementing an updated audit committee charter. This process requires careful attention to detail and a deep understanding of securities regulations.

Our team has experience with deregistration of bank holding companies, helping clients navigate the necessary steps to meet regulatory requirements.

Here are some key representative matters we've handled: