SECURITIES & PRIVATE EQUITY

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)