Securities Offerings & Investing

COMPLIANCE CAN BE COMPLICATED. TRUST US TO HELP.

pROTECTING YOUR INTERESTS

If you plan to make any type of securities offering or invest in an offering, having an attorney to handle and oversee these activities is critical for protecting your interests.

GENERAL COUNSEL US, provides representation to business clients for all types of private securities matters and offerings. Our experienced attorneys work diligently to ensure your compliance and help you succeed in achieving your goals and objectives.

Understanding Securities Offerings

Securities laws are largely based on the Securities Act of 1933 and the Exchange Act of 1934, along with a variety of rules and case law interpretations. The Securities and Exchange Commission (SEC) is the federal agency charged with overseeing securities offerings. All offerings must comply with the governing laws as well as the regulatory requirements of the SEC. Failing to comply could subject your company to legal and financial liability. You could even be held criminally responsible.

This complex area of the law changes constantly, and documentation requirements can be difficult to understand and interpret. Ensuring that your offerings and investments are appropriately structured and legally compliant helps minimize risk and potential liability.

Private Securities Offerings

Registering to make a private offering of securities can be time-consuming and potentially costly. Private offerings also require that you take great care when selecting investors.

Reg D requires that anyone making a private offering allows investment only from accredited investors (those that meet the SEC’s definition of a financially sophisticated investor). In most cases, this requires that investors have a minimum net worth of $1 million or a minimum annual income of $200,000 over the past 24 months.

GENERAL COUNSEL US, can assist you with all types of investing and offering documentation and filings. We assist clients with registration and proxy statements, SEC reporting and filings, private placement memorandums, and prospectus development. Some of the private offerings our legal team can assist with include the following.

Private Funds Offerings

Whatever type of private fund structure you may be considering – including venture capital funds, hedge funds, private equity funds, etc.), we can assist you in setting up your fund and advise you on critical topics such as acquiring investors. We also specialize in private fund offerings that help successful entrepreneurs invest in other up and coming entrepreneurs.

STARTUP SECURITIES Offerings

Raising capital for startups presents a challenge in the most stable of times. During times of economic, social, or political instability, early-stage financing can be especially challenging. We take a holistic approach to help our clients with making startup securities offerings, through early-stage financing offerings like SAFEs and convertible notes, as well as later-stage preferred equity offerings to venture capital firms and private equity groups.

Real Estate Syndication

GENERAL COUNSEL US can assist you with all types of real estate syndication offerings. Whether your goal is to acquire large commercial real estate properties or to fund various sizes and types of construction projects, we can assist you with structuring your fund offering and recommend the best approach for raising the capital you need.

We work closely with you to ensure your compliance with both federal and state requirements and regulations. We can provide guidance regarding any securities investments you might be considering, either personally or on behalf of your business.

Contact GENERAL COUNSEL US | Lovell, PLC, to learn more or to schedule a consultation with one of our experienced team of securities lawyers.