SECURITIES LAW

When a company takes in capital from outside investors, the rules change.  Whether raising money from high net worth individuals, institutional investors, or from the general public, companies must comply with an array of laws, rules, and regulations designed to protect investors.

Indeglia PC has represented companies in all stages of capital raising, from early stage and venture financings to private placements, public offerings, and alternative going-public transactions.  Once public, we provide ongoing representation to public companies with respect to their ongoing reporting obligations under the securities laws.  We advise our clients regarding securities compliance, reporting obligations, disclosure issues, and exchange requirements.

 

We have represented public and private issuers, underwriters, investors, financial institutions, venture capital funds, hedge funds, broker-dealers, and private investment firms in a wide range of securities matters, including the following:

 

  • 1933 Act Registration Statements

  • Initial Public Offerings (IPOs)

  • Follow-On Public Offerings

  • Resale Public Offerings

  • Special Purpose Acquisition Companies (SPACs)

  • Direct Public Offerings

  • Private Placements

  • Venture Capital Financings

  • Private Equity Capital Raising

  • Reverse Mergers

  • Alternate Public Offerings

  • Regulation A and A+ Offerings

  • Regulation D Offerings

  • Regulation S Offerings

  • Registered Direct Offerings

  • Private Investments in Public Equities (PIPEs)

  • At The Market (ATM) Offerings

  • Equity Lines of Credit (ELOCs)

  • Securities Exchange Act reporting and compliance

  • Proxy and Information Statements

  • Section 16 compliance and reporting

  • Rule 144 opinions

  • ADR Registrations and Offering

  • Stock Exchange Applications and Listings

  • Crowd Funding

Macro photo of tooth wheels with COMPLIA