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Securities Law

Anticipate issues, structure successful deals, and ensure compliance with securities rules and regulations.

Hawley Troxell represents a wide range of businesses — from publicly held, exchange-traded companies to investors and securities professionals involved in securities transactions, federal and state securities enforcement proceedings, and civil litigation. We are counsel to national and community financial institutions and private lenders as well as limited liability companies, limited partnerships, and corporations. Additionally, we maintain strong relationships with national and regional PCAOB-registered auditors. 

Our experience includes both federal and state securities regulation of issuers, brokers, and investment advisors. Our securities attorneys serve as hearing officers for the exempt exchange of securities transactions. We also negotiate and draft numerous term sheets and private placement memoranda for emerging growth companies in a number of Regulation D and other offerings to private investors, venture capitalists and angel investors.

While assisting with your securities needs, we can also bring in attorneys from other practice areas — including banks and other financial institutions, commercial litigation, corporate governance, entity formation, employment law, executive compensation, insurance, mergers and acquisitions, public finance, and real estate — to provide the most comprehensive service possible.

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Securities Law Insights

Is Your LLC Interest a Security?

Many business owners and entrepreneurs choose to form a limited liability company (“LLC”) over a corporation, in part, to avoid the administrative burdens and rigidity…


Are your Promissory Notes Considered Securities Under the Securities Act of 1933?

All companies, whether start-ups, mid-market, or public, at some point in their history have borrowed money from one source or another. For many start-up and…

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What can we do for you?

Learn more about how our team can help you reach your business goals. Send us a message below or give us a call at 208.344.6000.

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