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Securities Law Compliance

The complex matrix of regulations, jurisdictions and financial instruments involved in securities law can muddy the waters when navigating the domestic and international capital markets. However, seasoned legal counsel well-versed in the reporting requirements and frameworks of the major exchanges and oversight bodies can greatly reduce regulatory risk and facilitate transparency throughout the process.

CSG’s Corporate & Securities Group is regularly engaged by businesses and investors to ensure compliance across a broad range of securities transactions – including, but not limited to, private placements, “going private” transactions, debt issuances, and Rule 144A and Regulation S offerings.

We leverage our extensive experience working with financial regulators – including the Securities & Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) – to devise defensible transaction strategies and effectively respond to regulatory examinations.

Our Securities Law Compliance attorneys are highly regarded in the financial and legal communities, and are frequently recognized for their work in the areas of regulatory enforcement and securities litigation by The Best Lawyers in America©, one of the most respected peer-review publications in the legal profession.