Securities Law

  • Representation of a broker/salesperson regarding its negotiations with the issuer of certain securities to ensure compliance at both the state and SEC level;
  • Analyzing a purchase and sale transaction of a security to determine if the security should be registered and if the seller should be a licensed broker, agent, salesperson, or solicitor;
  • Analyzing a purchase and sale transaction of a security to determine if there are solicitor broker/salesperson regulatory concerns and drafting referral agreements accordingly;
  • Drafting of pitch books, power point presentations, and other marketing materials; and
  • Researching state-by-state registration exemptions for the sale of securities.