Securities Regulation and Compliance

Sparkman + Foote LLP provides legal guidance in the arena of securities law, including acquisitions, stock issuance and securities opinions.

Our attorneys have represented both US and foreign issuers of corporate stock and LLC interests in private placements, Regulation D offerings, and registered offerings. The firm’s lawyers know the ins and outs of both federal and state exemptions from registration and the requirements for Form D filings with the SEC and notice and other filings with state regulatory officials.

Contact: Allen Sparkman; Doug Foote; Christina Saunders