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Securities

Securities law is a complex, highly-regulated area, where the consequences of noncompliance can be severe. HCMP has broad experience helping clients navigate both U.S. and foreign securities laws to achieve desired results while avoiding the pitfalls of noncompliance.

Securities Offerings

We help our clients, both large and small, in the growth of their businesses by structuring, documenting, and closing a wide range of securities offerings and transactions, including:

  • public offerings;
  • private placements and other exemptions from U.S. registration requirements, including securities offerings by operating companies, hedge funds and other investment vehicles;
  • "angel," venture capital, and mezzanine financings;
  • employee stock plans;
  • tender offers;
  • "going private" transactions; and
  • offshore offerings under Regulation S.

With experience representing both investors and issuers, we have the ability to view transactions from all perspectives to reach a positive result for our clients.

Securities Compliance

We also offer efficient and effective counsel on conventional and cutting edge securities compliance matters, including SEC reporting obligations, transactions in restricted securities, broker-dealer and NASD compliance and investment company and investment advisor regulation.

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