HDR-services

Securities Law

Lanier Ford regularly advises companies (both small and large), institutional investors, and individual investors, on a plethora of issues relating to securities. Sound legal advice from knowledgeable and experienced attorneys is important because of the numerous and complicated securities laws at both the federal and state level. Lanier Ford helps clients to comply with the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes-Oxley Act of 2002, the blue-sky laws of the various states, and other related securities laws and regulations.

Lanier Ford business lawyers assist clients with private placements. They also prepare the offering and sales materials that are subject to strict requirements. Our attorneys provide guidance and assistance with registration of securities as well as obtaining exemption from registration requirements from the various state securities commissions.

Finally, our attorneys assist with the ongoing reporting and disclosure requirements, including preparation of periodic reports, notices of shareholder meetings, proxy statements, and other documents required by the Securities and Exchange Commission (SEC) and state securities commissions.

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CONTACT

  • 256-535-1100
  • 256-533-9322
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