SECURITIES & PRIVATE EQUITY
FisherBroyles advises public and private companies in connection with a wide range of securities law compliance and securities transactional matters. In addition, our attorneys have experience in representing fund sponsors and investors in a wide array of investment vehicles, including private equity funds, fund of funds, and venture capital investments across a broad range of industries. Our expertise includes the following areas:
CAPITAL RAISING
- Initial public offerings
- Public offerings of debt and equity
- Private placements of debt and equity
- PIPES (private investment in public equity)
- Regulation Crowdfunding Offerings
- Regulation A+ Offerings
- State or “blue sky” law compliance
- Series Seed / “Friends and Family” investment rounds
- Structuring and documenting deals with VC firms
PUBLIC COMPANIES:
- SEC reporting requirements
- Proxy solicitations
- Corporate governance matters
- Stock buyback programs
- Employee equity compensation plans
PRIVATE COMPANIES:
- Choice of entity
- Financing solutions
- Shareholder Agreements/Buy-Sell Agreements
- Employee equity compensation plans
INVESTMENT ADVISORS:
- Compliance with SEC reporting and registration requirements
- On-going compliance support
- Investment management agreements
- Vendor and NDA agreements
BROKER/DEALERS:
- Broker/dealer registration requirements
- Regulatory compliance
- Placement agent agreements
- Registered representative agreements with broker/dealers
PRIVATE FUNDS:
- Fund formation – US and offshore vehicles
- Fund offering documentation and offering compliance
- General partner and management company operations
- Managing limited partner regulatory issues
- Fund dissolution
FINTECH and BLOCKCHAIN:
- Crypto asset and blockchain companies and products
- Start-up and mature FinTech companies and financial institutions
- Crypto asset investment funds
- Initial Coin Offerings (ICOs)