PRACTICE

Securities

Overview

Pierson Ferdinand’s Securities Team offers comprehensive legal counsel to both public and private companies, guiding them through a wide array of securities law compliance and transactional matters. Our adept legal team also brings substantial experience in representing fund sponsors and investors across diverse investment vehicles, including private equity funds, fund of funds, and venture capital investments spanning various industries.

  • Full Spectrum of Business Transactions

    Like traditional large law firms, we regularly assist clients in the full spectrum of business transactions and related company matters, a large portion of which involves mergers and acquisitions, capital markets, banking and credit, employment, regulatory, corporate governance and board advisory, intellectual property, and financial restructuring and reorganization, among others.

  • Leveraging Technology

    Our Corporate team leverages cutting edge technology in all aspects of practice and our diverse all-partner teams focus on what matters most to our clients and stakeholders, delivering outcomes through shared values of strength, diversity, and collaboration.

  • Forging Close Partnerships

    We believe in forging close partnerships with our clients to better understand their business operations, enabling us to provide more effective counsel and to deliver exceptional value during pivotal moments that often shape profoundly the trajectory and success of our clients’ businesses.

  • Effective Low-Leverage Platform

    Our unique low-leverage platform is not only more cost-effective, it allows us to focus on fewer, targeted engagements than our peers at traditional, elite law firms. This model allows us to get closer to our clients and to know their businesses, preferences, and cadence, and to ultimately meet our clients where they are.

Capabilities

Our areas of expertise encompass: capital raising; assisting in various capital-raising endeavors, including 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, and structuring deals for Series Seed and Friends and Family investment rounds and navigating transactions with venture capital firms; public companies, providing guidance on SEC reporting requirements, proxy solicitations, corporate governance matters, stock buyback programs, and employee equity compensation plans; private companies; assisting with making critical decisions, including choice of entity, financing solutions, the creation of Shareholder Agreements and Buy-Sell Agreements, and structuring employee equity compensation plans; investment advisors; assisting investment advisors in compliance with SEC reporting and registration requirements, offering ongoing compliance support, and drafting investment management agreements, vendor agreements, and NDA agreements; broker/dealers: guiding broker/dealers through registration requirements, ensuring regulatory compliance, and assisting with placement agent agreements and registered representative agreements with broker/dealers; private funds, covering fund formation for both U.S. and offshore vehicles, crafting fund offering documentation, ensuring offering compliance, addressing limited partner regulatory issues, and handling fund dissolution when necessary; and FinTech and blockchain, providing counseling to crypto asset and blockchain companies and products, and supporting both startup and established FinTech companies, as well as financial institutions encompassing crypto asset investment funds and Initial Coin Offerings (ICOs).

Pierson Ferdinand is dedicated to providing practical solutions and efficient guidance in these complex areas, ensuring that businesses can navigate the intricacies of securities and private equity transactions effectively.