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Securities Transactions & Compliance

Cline Williams serves a variety of publicly traded and privately owned companies, across a broad spectrum of industries.  These include: bioengineering, biomedicine and biotechnology businesses; banks, bank holding companies, securities broker dealers, underwriters, investment advisors and other financial service providers; commercial, agricultural and manufacturing businesses; oil and gas production and  transportation companies; restaurants and other food service providers; retailers; commercial, multifamily housing and assisted living real estate developers; and other venture capital and investment enterprises. 

Cline Williams lawyers help our clients structure their capital-raising transactions to comply with the securities laws, and we advise promoters and issuers about reporting, disclosure and corporate governance obligations.  Our experience includes:

  • Exempt capital-raising transactions, including Regulation D private placements
  • Formation, registration, operation, acquisition and distribution of mutual funds
  • Investment advisor registration, compliance and required federal and state filings
  • Private investment company formation and regulation
  • Broker-dealer registration and compliance
  • Registration of transactions and securities pursuant to the Securities Act of 1933, the Securities Exchange Act of 1934 and state securities laws, including initial public offerings
  • Periodic reports required by the Securities Exchange Act of 1934
  • Public company mergers and acquisitions, including proxy statements, federal and state filings and related tax opinions

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