Securities Law Compliance

Integrity is part of the ethos at Cole Schotz.

Marketplace Integrity

It is foundational to the practice of law and a key consideration in our representation of our clients. It is of paramount importance for anyone conducting business involving securities law compliance, where the hurdles and intricacies are numerous, and the potential consequences of non-compliance are dire.

Superior representation

Attorneys in our securities law practice are experienced in both public and private offerings of securities and representing issuers and investors in connection with all types of offerings and regulatory matters. As the regulatory and enforcement landscapes continue to shift, we are available to guide clients of all sizes, stages of development and all industries, in navigating complex compliance matters. We are continually monitoring the market and regulations and proactively address regulatory, compliance and enforcement matters.

We advise our clients with respect to:

• Securities Act of 1933
• Securities Exchange Act of 1934
• The Investment Advisers Act of 1940
• The Investment Company Act of 1940
• The regulations of various national securities exchanges
• State “blue sky” securities law

Our experience is broad and includes:

• All aspects of securities offerings, including private placements and public equity, debt, and hybrid offerings
• Investments
• Private equity
• Advising on the ongoing registration or regulatory obligations under securities laws and exceptions therefrom
• Preparation and review of quarterly, annual and other periodic reports and proxy statements
• Advising officers and directors with respect to compliance with their fiduciary and other reporting obligations