Securities Compliance
Area of expertise
Securities compliance ensures adherence to financial regulations, preventing fraud and misconduct while promoting transparency, investor protection, and legal integrity in securities markets and corporate transactions.
Private Securities Offerings
Private Securities Offerings (PPM) Subscription documents, operating agreements, and investor questionnaires Private Fund and Investment Companies Startups and Venture Capital
Crowdfunding
Support justice and legal empowerment with our law firm’s crowdfunding campaign. Your contribution helps us provide expert legal aid, defend rights, and ensure fair representation for those in need.
Publicly Traded Offerings
Publicly Traded Offerings .
Compliance and Filings
Form D filings Compliance-Securities Act + Blue Sky/State Filings Form ADV filings Filings for SEC and SSC
Frequently Asked Questions
What is the Investment Company Act?
The Investment Company Act of 1940 is a federal law that regulates the organization and activities of investment companies, including mutual funds. Its primary goal is to protect investors by ensuring that investment companies operate in a fair and transparent manner.
What is Form ADV?
Form ADV is a required submission for investment advisers registering with the SEC or state securities authorities. It provides detailed information about the adviser’s business, ownership, clients, employees, business practices, affiliations, and any disciplinary events of the adviser or its employees.
What is crowdfunding and how is it regulated?
Crowdfunding is a method of raising capital through the collective effort of a large number of individual investors, typically via the internet. It is regulated by the Securities and Exchange Commission (SEC) under the Jumpstart Our Business Startups (JOBS) Act, which allows companies to use crowdfunding to offer and sell securities.
What are private funds?
Private funds refer to pooled investment vehicles that are not required to register under the Investment Company Act. Examples include hedge funds and private equity funds. These funds typically have fewer regulatory restrictions but are limited to accredited investors.
What is a fund of funds?
A fund of funds is an investment strategy that involves holding a portfolio of other investment funds rather than investing directly in securities. This can provide diversification and professional management, but also may involve higher fees due to the layered structure.
What is involved in a public offering?
A public offering involves the sale of securities to the general public, typically through an initial public offering (IPO). This process is highly regulated and requires extensive disclosure, including a registration statement filed with the SEC. It allows companies to raise capital from a broad investor base.
How can Kelley Clarke Law help with securities compliance?
A public offering involves the sale of securities to the general public, typically through an initial public offering (IPO). This process is highly regulated and requires extensive disclosure, including a registration statement filed with the SEC. It allows companies to raise capital from a broad investor base.
