Exploring Various Options for Raising Capital
You can depend on our corporate finance attorney for legal counsel and
advice on the full range of public and private financings. Our experience
includes all combinations of debt and equity instruments issued by U.S.
and international companies in markets all over the world.
Businesses and corporations usually need substantial amounts of capital
to get started, to expand and to go public. At
Securities Compliance Group, we have a securities compliance lawyer who can assist various business
and corporations of various sizes with their financing needs. In addition
to his legal background, Attorney Adam S. Tracy also has a background
as a serial entrepreneur who has a Master of Business Administration (M.B.A.)
and a bachelor's degree in finance. Our firm can assist with various
types of private and public offerings, which include the following:
Private Investment in Public Equity (PIPE) transactions: This involves offering a certain amount of the company's stock at
a price that is below the existing market value. This allows the company
to speed up the process of selling shares, which in turn allows it to
raise capital faster. This type of corporate financing is seen as being
particularly favorable for small- and medium-sized public companies.
Private Offerings: In private placements, securities are sold to a smaller group of investors,
which oftentimes include large banks, insurance companies, mutual funds,
etc. Because of the more exclusive group of investors involved in a private
stock offering, registering the placement with the Securities and Exchange
Commission (SEC) is not required. The company will, however, need to draft
a private placement memorandum to ensure that federal anti-fraud requirements
are being met.
Public Offerings: In public offerings, equity shares are made available for sale to the
public (defined as 35 people or more). These offerings require SEC registration
Restricted Stock: These are company shares that are granted to certain insiders in the corporation,
which may include executives and other directors. These unregistered shares,
which are governed under SEC Rule 144, cannot be transferred until certain
criteria have been met. Other common names for this type of stock are
"letter stock" and "section 1244 stock."
Seek counsel from a securities compliance attorney!
At Securities Compliance Group, we are here to help you decide which corporate
financing route is right for your company. We know how important it is
for the future of your corporation to have access to sufficient financial
Contact us for excellent legal counsel from an experienced securities compliance lawyer!