Securities Law

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Hall Render provides a wide range of securities law compliance services. Securities law compliance issues arise whenever a business entity desires to make an initial offering of ownership interests or issue additional shares to new or existing owners of the entity. Hall Render attorneys are able to determine whether state or federal securities laws apply...Read More

Hall Render provides a wide range of securities law compliance services. Securities law compliance issues arise whenever a business entity desires to make an initial offering of ownership interests or issue additional shares to new or existing owners of the entity. Hall Render attorneys are able to determine whether state or federal securities laws apply to certain transactions and to assist closely held business clients in qualifying for the various securities laws exemptions and in the preparation of private placement memoranda, other disclosure documents and filings with state and federal securities regulation authorities. Hall Render attorneys have extensive experience in helping highly regulated entities, such as ambulatory surgery centers, comply with the securities laws when offering ownership to investors. The firm also represents investment advisory firms, venture capital funds, and other clients with regard to compliance with securities laws such as the Investment Advisors Act and the Investment Company Act.

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Areas of Focus

  • Investment Advisors Act
  • Investment Company Act
  • Sarbanes-Oxley Act
  • SEC Rules and Regulations
  • Securities Act
  • Securities Exchange Act