Securities Law

General Counsel for Securities Law

Securities LawAt G. Ortega Law, our attorneys offer counsel for securities compliance. Laws and regulations around financial instruments are frequently changing and becoming more complex, but your securities lawyer helps you take steps to remain compliant with federal laws, Blue Sky laws, and SEC reporting requirements, and self-regulatory organizations.

Non-compliance can result in costly fines and a damaged reputation for your company. Your securities lawyer works with you to help mitigate these risks by offering advice and oversight for securities compliance. In addition to legal expertise, our attorneys offer experience in both business and banking, which makes our team the right choice for your securities legal counsel. Our seasoned legal professionals provide compliance guidance and strategies for a broad range of companies.

Your securities lawyer provides many services to help you stay on the right side of securities law, including:

  • Prepare for securities registrations for initial and follow-on public offerings
  • Securities compliance counsel
  • Prepare reports for SEC reporting obligations
  • General counsel for securities laws, SEC regulations, and stock exchange rules

Whether your company offers public or private securities, all securities transactions are subject to securities and antifraud laws. Even though you may not have to register with the SEC for private offerings, you must still follow certain guidelines to remain compliant with securities laws. Your financial securities lawyer provides practical guidance and support to help you remain compliant even for private placements.

Our attorneys assist with creating disclosure documents and financial statements, file a form D with the SEC, and advise on strategies to promote securities transparency.  Your securities lawyer helps you efficiently navigate through regulatory compliance and other securities challenges your business may face.   

Legal for Financial Instruments

Before offering financial instruments, talk to your securities lawyer at G. Ortega Law to understand all the necessary steps and documentation you need to remain on the right side of the law. Our team offers legal counsel for financial instruments based on your company’s goals and objectives. We help you develop a strategy for offering securities and remaining compliant with all securities and financial instrument laws.

Your financial securities lawyer offers guidance for a wide range of financial instruments, such as:

  • Stocks
  • Bonds
  • Equity loans
  • PECs
  • CPECs
  • Tracker certificates

Our attorneys represent your company during transactions of all kinds to help you achieve your business objectives and also remain compliant with applicable financial instrument regulations. We are here to help minimize risks and streamline securities compliance efforts by offering experienced legal counsel. Contact our team today to discuss your needs with our financial securities lawyer.