Practice Summary
At Avisen Legal, our Securities Law team works closely with you to fine-tune your business structure, making it more appealing to potential investors. We help you adjust your company’s documents to allow for new investments while making sure you stay in control according to your plans.
We also guide you through the complex regulatory landscape, ensuring that your offerings are structured to meet all compliance requirements. Our team assists in preparing and managing all necessary filings and maintains meticulous records to support the outcomes of your offerings.
We can also help you set up a clear and efficient system for keeping investors informed, which involves creating easy-to-understand reports and making sure information is shared regularly. This helps build trust with your investors and keeps your business operations transparent, reducing the likelihood of misunderstandings or disputes.
We prioritize the confidentiality and data privacy of all our client work, ensuring that sensitive information is managed with the utmost care throughout every transaction.
Our goal is to guide you through the securities process smoothly, ensuring that your business is well-prepared and poised to grow.
Our Unique Approach to Securities Law
At Avisen Legal, we work regularly with privately held businesses and emerging growth companies seeking to raise capital for growth or balance sheet recapitalization. Our unique approach involves us building a detailed understanding of your business model, enabling us to tailor financial solutions that precisely fit your needs, whether through equity, debt, or hybrid financing structures.
For clients referred to us by other law firms that don’t work in securities law, we provide a reliable partnership with the assurance that we will not attempt to poach your client. We pledge that after the securities transaction is finalized, we will send your client back to you.
We adeptly navigate the complexities of various financing stages, from initial fundraising to sophisticated series A rounds and beyond, ensuring a streamlined process that aligns with both federal and state blue sky regulations.
We work closely with key stakeholders, including CFOs and financial advisors, to develop and implement a strategic capital plan that is both ambitious and achievable.
The Securities Law Spaces We Work In
Our securities experience covers a wide range of industries, including:
- Real estate development
- Renewable energy, including biogas and RNG
- Fintech platforms
- Manufacturing
- Trucking and distribution
- Mining sectors
- Investment advisors and wealth managers
- Medical device
- Serial entrepreneurs raising capital for acquisition or growth
- Any other industry looking to raise money
We ensure that your securities offerings comply with the Investment Company Act and the Investment Adviser Act, including determining whether specific plans require registration or qualify for exemptions.
We handle everything from private placements to complex compliance with federal and state securities laws.
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Real Experience in Securities Law
Our team brings deep knowledge and experience, ensuring that every transaction is structured to meet the stringent requirements of the Securities and Exchange Commission (SEC) and state securities regulators. We collaborate with tax professionals and financial advisors to craft a capital plan that supports your business goals.
We have significant experience advising on the securities components of mergers and acquisitions, and helping businesses restructure their shareholder base through strategic buyouts and equity offerings.
We’ve worked on a wide variety of securities projects, including:
- Series seed financing rounds
- Series A financing rounds
- SAFE financing rounds
- Convertible note and bridge financing rounds
- Private placements of equity and debt securities
- Employee stock option plans
- Shareholder transfers and redemptions
- Profits Interests Plans
- Mergers and share exchanges
- Tender offers
- Regulation A offerings
- Crowd funding
- Rule 144 opinions
Ready to Grow Your Business?
Let’s get ready to foster your growth with strategic capital raising. Contact Avisen Legal today to learn how our Securities Law experience can serve your business needs.
Frequently Asked Questions
Any business seeking to raise capital, from startups in the fintech space to established real estate developers, to medium-sized companies looking to attract more investment capital can all benefit from our tailored services.
We meticulously manage every aspect of the offering process, from document preparation to final filings, ensuring full compliance with both state and federal laws.
Yes, our team is equipped to assist with all types of capital raising, including debt, equity, hybrid, and convertible securities.
We provide detailed guidance on the legal and strategic aspects of raising capital, helping first-time entrepreneurs understand their options and obligations.
We work closely with your finance and executive teams to develop a capital plan and execute transactions that align with your business goals and comply with applicable laws and regulatory requirements.
We prioritize the confidentiality of all our client matters and ensure that sensitive information is handled with the utmost care and in alignment with all necessary data privacy requirements.
We conduct thorough conflict checks to identify any potential conflicts of interest early in the process, ensuring that all parties are aware and if they exist, that appropriate measures are taken to address them.
We provide strategic advice and legal services for structuring and negotiating buyouts that align with your business goals, ensuring the process complies with all federal and state securities laws. We specialize in crafting and executing employee stock option plans that are tailored to meet your business goals while ensuring full compliance with applicable legal requirements.
Our approach includes comprehensive risk assessment, strategic planning, and the implementation of risk mitigation strategies to protect your interests throughout the transaction process. Ultimately, risk becomes a business decision and we help you understand your risks and develop a plan that works for you.
Yes, we focus on crafting and executing employee stock option plans that are tailored to meet your business goals while ensuring full compliance with relevant laws.
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