SECURITIES LAW

Ensuring Compliance with State and Federal Securities Laws

Businesses seeking to raise capital are encouraged to retain a law firm with experience in securities law. The definition of a security is quite broad, and a variety of exemptions exist that make it necessary to rely on trusted legal advice before moving forward with raising capital for your business. Our securities attorneys can assist businesses in exploring the various exemptions from federal and state securities registration requirements. We also provide registration services and compliance program services for various SEC, CFTC, and FINRA regulated investment advisory firms and broker-dealers. Our securities attorneys also assist investment adviser representatives, registered representatives of broker-dealers, and other financial services professionals navigate compliance and regulatory matters. 

NEW Securities Package

Our Services

Securities Offerings

 

  • Exempt Offerings
  • Private Placements

 

Regulatory Compliance

 

  • Annual Compliance Program Reviews
  • Anti-Money Laundering Reviews
  • Anti-Money Laundering Programs and Compliance Training
  • Compliance Manual / Code of Ethics / Policies and Procedures (Revision and Drafting)
  • Compliance Program Support and Testing
  • Email Monitoring
  • Employee On-boarding and Firm Wide Compliance Training
  • Marketing Material Reviews
  • Mock Audits
  • Registration Services for Investment Advisers (SEC Registrants, State Registrants, and Exempt Reporting Advisers)
  • Regulatory Exam Assistance 
  • SEC and State Securities’ Exams Support


OUR SECURITIES LAW TEAM

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Securities Law Posts

Lavelle Law News and Events

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Toolkit to Elevate Your Business

By Lavelle Law • May 13, 2021
Are you looking to start or grow your business as we emerge from the pandemic? Are you considering changing your existing business from a sole proprietorship to an LLC or an S Corporation? In a recent “Good Morning Schaumburg” presentation, Lavelle Law attorneys discussed how to choose the correct entity for your business, as well as how to structure the relationships among the entity and its owners through the careful use of shareholder and operating agreements. New and emerging businesses seeking to raise capital learned how they can do so through certain private placements of their securities without the need to incur the time and expense of registering them with the SEC and the Illinois Securities Department.
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Navigating the Annual Requirements for Investment Advisers

By Samantha Bonamassa • January 13, 2021
SEC-registered investment advisers must navigate several annual and ongoing regulatory and compliance requirements. Two of the most important investment adviser annual requirements are submitting an annual updating amendment to the Form ADV and conducting an annual review. Failing to comply with these annual requirements can subject an investment adviser to regulatory examinations, enforcements, fines, censures, reputational harm, and other penalties. In this podcast, attorney Samantha Bonamassa discusses the compliance requirements and answers FAQs.
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Investment Adviser Annual Requirements

By Samantha Bonamassa • January 6, 2021
SEC-registered investment advisers must navigate several annual and ongoing regulatory and compliance requirements. Two of the most important investment adviser annual requirements are submitting an annual updating amendment to the Form ADV and conducting an annual review. Failing to comply with these annual requirements can subject an investment adviser to regulatory examinations, enforcements, fines, censures, reputational harm, and other penalties.
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