Services
Securities & Regulatory
Navigate complexity and compliance.
Understand the requirements that affect a transaction before they become obstacles. We help identify securities and regulatory considerations and coordinate the related documentation and compliance work.
Selling shares, membership interests or convertible instruments involves securities laws at both the federal and state level. Addressing them on an ongoing basis keeps a business compliant and avoids problems that can surface years later in diligence.
We also help companies navigate complex regulations in highly regulated industries that deal with federal, state and local regulations and compliance, including in fast-moving, newly regulated industries.
How we help
- Securities considerations in capital raising
- Offering and investor documentation
- Transaction-related regulatory coordination
- Licensing and compliance matters with federal, state and local agencies
Before we get started
Do securities laws apply to a small private raise?
Yes. Under federal and state law, every offer and sale of securities must either be registered or qualify for an exemption, regardless of the amount raised or how well you know the investors.
What is a private placement exemption?
It is an exemption that lets a company sell securities without registering the offering. The most common ones, under Regulation D, set conditions such as who may invest and how the offering may be marketed, and still may require a notice filing with the SEC and the relevant states.
How do I know what laws my business needs to comply with?
We have deep experience working with companies in highly regulated industries, such as alcohol, cannabis, healthcare and financial technology. All businesses are subject to statutes and regulations at the federal, state and local levels. Clients hire Craft to give them peace of mind in navigating an often opaque and complex regulatory apparatus.
Your attorneys
- Russ RotondiFounder, Co-Managing Partner
(503) 327-6824 - Jake CormierCo-Managing Partner
(503) 517-8147
Industries we serve
Often part of the same work.
Corporate Finance & Capital Raising
Equity and debt financings, investor terms and closings.
Learn moreMergers & Acquisitions
Buy-side and sell-side deals from first conversation to closing.
Learn moreStartups & Business Formation
Entity choice, founder agreements and governance from day one.
Learn moreOutside General Counsel
Ongoing counsel for businesses without an in-house legal department.
Learn moreTell us what’s next.
Share a general description of your business, the work you need and your timeline. Please don’t send confidential information; an inquiry does not create an attorney-client relationship.