Columbus Securities Attorneys

From raising funding and venture capital to private placements, companies that issue securities must ensure that they comply with federal and state securities laws. Generally, a company that issues securities must either qualify for an exemption or register with a regulatory body, such as the Securities and Exchange Commission (SEC) or the Ohio Division of Securities.

Our Columbus securities lawyers help businesses navigate the complex framework of federal regulations including the Securities Act of 1933, the Securities Exchange Act of 1934, and the U.S. Foreign Corrupt Practices Act and state blue sky laws such as the Ohio Securities Act.

We advise companies of all sizes on multiple areas of securities laws including:


  • SEC Rule 144 safe harbor
  • Debt securities
  • SEC Regulation D and Rules 504 and 506
  • Investors rights agreements
  • Restricted stock purchase agreements
  • Private placement memorandum (PPM), also known as an Offering Memorandum
  • SEC Rule 144A and Qualified Institutional Buyers (QIB)
  • Preferred stock terms sheets
  • Section 83(b) elections
  • Stock purchase agreements
  • Section 409A compliance
  • Accredited investors
  • Registration rights
  • Series A preferred stock purchase agreements
  • Private stock and securities resale
  • The Howey test
  • Regulation A
  • Regulation A+
  • Rule 701 and compensation exemptions
  • Crowdfunding
  • SEC Form D filing

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