Orange County Attorneys Handling Securities Offerings

Equity offerings must comply with state and federal securities law. At Wilson & Oskam, a business law boutique firm based in Orange County, our lawyers provide guidance on all aspects of securities law. We also have an office in New York City.

Applying In-Depth Knowledge And Attention To Detail

Generally speaking, shares must be registered unless they fit within a specific exemption — for example, as a private placement or intrastate offering. Because of the high costs typically involved in registering securities, for many startups, navigating the boundaries of exemptions and other aspects of regulatory compliance is critical to raising capital and pursuing equity transactions.

Our attorneys handle both private placements and registered public offerings. In every offering, we draw on extensive legal knowledge and meticulous attention to detail, ensuring that the transaction complies with the federal "Truth in Securities Act" (the Securities Act of 1933) and applicable securities state securities regulations ("blue sky laws").

Private Placements

Business clients turn to us for guidance on all aspects of private placement offerings, including:

  • The private placement memorandum (PPM) delivered to qualified prospective investors
  • Accredited investor questionnaires
  • Subscription agreements
  • All other legal documents related to the private placement

We also assist clients in filing Form D with the Securities and Exchange Commission (SEC) as well as state filings.

Registered Public Offerings

We work with clients to ensure a seamless and successful registered public offering that complies with state and federal law. For example, we will prepare the initial public offering documents, including the Form S-1 registration statement.

Our lawyers also interface with the SEC through its review process until it declares the registration statement effective. We work closely with independent auditors and provide referrals to accountants who are qualified to practice before the SEC.

Finally, we help clients list their securities on the various national securities exchanges and automated quotation systems. Our legal team assists with preparing and obtaining the clearance of a Form 15c2-11 application with FINRA through a market maker.

For more information on the legal aspects of securities offerings, contact our legal team at 800-642-6388.