Securities


Securities Law Compliance Manual for Private Placement of Securities

At Arnstein & Lehr, we build relationships by delivering creative, business oriented solutions in the most cost-effective manner. We understand the needs and constraints of a growing business and we work closely with entrepreneurs, development stage and mid-sized private and public companies covering a wide range of industries and hedge funds and other investment vehicles, to provide counsel in all securities matters from raising capital to maintaining regulatory compliance.

Our attorneys have extensive experience in structuring private placements, offshore capital raises, initial and secondary public offerings, SPACS, PIPES, reverse mergers, takeovers, going private transactions and listing on national and foreign stock exchanges. We guide our clients through securities reporting requirements and provide hands on assistance to officers and in-house counsel in the preparation and filing of reports required by the SEC, state and foreign regulators. We also provide general corporate advice as well as specialized counsel ranging from simple to highly structured financing transactions, entity restructuring, asset acquisitions/dispositions, and national and international mergers.

In addition to issuers and investors, we also represent broker dealers in private and public offerings and provide regulatory advice and representation of broker dealers before the SEC, NASD, state securities regulators and national exchanges.

With the Arnstein & Lehr Securities Practice Group, you get an experienced legal team that is with you at each stage of growth and guides you through any compliance maze. Our practice group has been together for several years and is co-chaired by former SEC attorneys who served in the Division of Corporate Finance in Washington D.C. and the Division of Enforcement in New York and Miami. We also draw on expertise from other Arnstein & Lehr attorneys that specialize in tax, intellectual property, white collar criminal defense, and international law. Where appropriate, we rely on the expertise of a close network of foreign attorneys that, together with our Securities Practice Group, will meet all of your securities and transactional needs.