Securities

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.