Sellers, P.C. is adept at navigating the complexities of securities compliance to help businesses and investors meet regulatory standards with confidence. We provide strategic legal support to ensure full compliance with federal and state securities laws while protecting your business interests at every turn.
Featured Services
The intricate world of securities regulation requires not only expertise but also a proactive approach to compliance and risk management. At Sellers PC, we provide comprehensive legal services designed to help businesses, investors, and issuers adhere to the rigorous requirements under federal and state securities laws. Our experienced attorneys assist with evaluating available registration exemptions, drafting offering and disclosure documents, and assisting with regulatory reporting.
Our attorneys have significant experience in securities regulation and compliance for broker-dealers and investment advisers, including evaluating exemptions from registration, organization of broker-dealer and investment adviser entities, preparation and filing of state and federal broker-dealer and investment adviser registrations, preparation of compliance protocols, purchase and sale of registered broker-dealers and investment advisers, and advising on day-to-day compliance issues.
In the private equity arena, we represent both issuers and investors in private placement transactions. We are experienced with venture capital and private equity transactions. For issuers, we work with the client to gain a thorough understanding of the client’s industry and particular business and the potential risks to the investors.
State and Federal Securities Filings
Assisting with filing requirements, including Form D for exempt securities and other necessary state and federal submissions.
Investor Disclosure Documents
Preparing transparent and accurate disclosures to protect issuers and build trust with investors.
Regulation D and Exemption Analysis
Advising clients on exemptions under Regulation D, ensuring offerings align with SEC regulations to avoid penalties.
Investment Fraud Risk Management
Implementing measures to protect against investment fraud and investigating claims of misleading practices or misrepresentation.
Securities Industry Compliance
Representing broker-dealers and investment advisor in SEC, FINRA and state law compliance matters.
Private Placement Transactions
Drafting offering documents and private placement memoranda and advising on compliance with applicable exemptions from registration, including Regulation D and Regulation S, handling SEC and state filings.
BD and RIA Organization and Compliance
Evaluating broker-dealer and investment advisor registration exemptions, preparing and filing registration applications, preparing supervisory procedures and other compliance protocols, and handling the purchase and sale of businesses in the securities industry.