Practice Area
Securities Law
Navigate complex securities regulations with confidence. From fund formation through ongoing compliance, we provide practical counsel based on real-world experience as fund General Counsel and Chief Compliance Officer.
Securities Law Services
Private Fund Formation
- • 3(c)(1) & 3(c)(7) Funds
- • Rule 506(b) & 506(c) Offerings
- • Master-Feeder Structures
- • SPV & Co-Investment Vehicles
- • International Fund Structures
Regulatory Compliance
- • Investment Adviser Registration
- • Form ADV Preparation
- • Marketing Rule Compliance
- • Compliance Programs & Manuals
- • Annual Review Support
Offering Documents
- • Private Placement Memoranda
- • Subscription Agreements
- • Investor Questionnaires
- • Risk Disclosures
- • Marketing Materials Review
Regulatory Framework
Federal Securities Laws
- — Securities Act of 1933
- — Securities Exchange Act of 1934
- — Investment Company Act of 1940
- — Investment Advisers Act of 1940
- — Commodity Exchange Act
- — Dodd-Frank Act
Key Exemptions & Rules
- — Regulation D - Rule 506(b) & 506(c)
- — Section 3(c)(1) & 3(c)(7) Exemptions
- — Venture Capital Fund Exemption
- — Private Fund Adviser Exemption
- — Foreign Private Adviser Exemption
- — State Investment Adviser Exemptions
Fund Types We Support
Venture Capital
Early-stage & growth equity funds
Private Equity
Buyout & growth capital funds
Real Estate
Opportunistic & value-add funds
Hedge Funds
Long/short & alternative strategies
Crypto Funds
Digital asset & blockchain funds
Fund of Funds
Multi-manager strategies
Search Funds
Traditional & self-funded searchers
SPVs
Single-asset & co-investment vehicles
Ongoing Compliance Support
Securities compliance is not a one-time event. We provide comprehensive ongoing support to ensure your firm maintains compliance as regulations evolve and your business grows.
Registration & Filings
- Form ADV preparation and annual updates
- Form D filings for new offerings
- Blue Sky notice filings
- Form PF assistance
- State investment adviser registrations
Policies & Procedures
- Compliance manual development
- Code of ethics implementation
- Marketing policies under new rules
- Cybersecurity programs
- Annual compliance reviews
Real-World Experience
Our founder's experience as General Counsel and Chief Compliance Officer for a private equity fund provides unique insight into the practical realities of securities compliance.
Understanding of day-to-day compliance challenges
Solutions that work in the real world
Streamlined processes and flat-fee pricing
Navigate Securities Law with Confidence
Schedule a consultation to discuss your securities law needs. We provide practical counsel based on real-world experience.