Practice Chairs

Chris Shultz

Marcus Wilkinson

Alan Minsk

 

FisherBroyles advises public and private companies in connection with a wide range of securities law compliance and securities transactional matters.  In addition, our attorneys have experience in representing fund sponsors and investors in a wide array of investment vehicles, including private equity funds, fund of funds, and venture capital investments across a broad range of industries.  Our expertise includes the following areas:

CAPITAL RAISING

• 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
• Series Seed / “Friends and Family” investment rounds
• Structuring and documenting deals with VC firms

PUBLIC COMPANIES:

• SEC reporting requirements
• Proxy solicitations
• Corporate governance matters
• Stock buyback programs
• Employee equity compensation plans

PRIVATE COMPANIES:

• Choice of entity
• Financing solutions
• Shareholder Agreements/Buy-Sell Agreements
• Employee equity compensation plans

INVESTMENT ADVISORS:

• Compliance with SEC reporting and registration requirements
• On-going compliance support
• Investment management agreements
• Vendor and NDA agreements

BROKER/DEALERS:

• Broker/dealer registration requirements
• Regulatory compliance
• Placement agent agreements
• Registered representative agreements with broker/dealers

PRIVATE FUNDS:

• Fund formation – US and offshore vehicles
• Fund offering documentation and offering compliance
• General partner and management company operations
• Managing limited partner regulatory issues
• Fund dissolution

FINTECH and BLOCKCHAIN:

• Crypto asset and blockchain companies and products
• Start-up and mature FinTech companies and financial institutions
• Crypto asset investment funds
• Initial Coin Offerings (ICOs)