Securities Compliance and Blue Sky for Public and Private Companies

Agile Legal Services senior-level team of virtual attorneys, paralegals and other legal professionals have extensive Company Formation Services Icon experience providing support to many types of transactions requiring Blue Sky and Securities compliance.  Whether it is providing preliminary legal research, liaising with outside counsel, or the preparation, filing, and ongoing compliance management for Blue Sky and Securities, let our tenured team provide expert level resources and capacity as needed.  (Private Equity, Commercial Real Estate, Venture Capital, and Hedge Fund firms who require fund management and compliance may receive additional benefit from our sister company FundComply.)

Maintenance and Compliance Services for Funds and Offerings

  • Blue Sky
  • Securities
  • Regulation A support, or Reg A
    • Tier 1 (up to $20mm in a 12-month period)
    • Tier 2 (up to $50mm in a 12-month period)
  • Regulation D support, or Reg D
    • Section 504 – Exemption for offerings not exceeding $5mm
    • Section 506 – Exemption for unlimited offering
  • FundComply

State and Federal Level Securities

  • A questionnaire to obtain pertinent information including the federal exemption that will be relied upon.
  • Research of the securities laws and exemptions in each state where an investor resides including Rule 147.
  • A blue sky chart indicating exemptions VPS found including the link to each law, and notations as to whether each exemption is self-executing or state required forms and filing fees.
  • Draft:
    • Private placement memorandum - Form D
    • Any required state filings
    • Blue Sky memorandum
  • Coordinate signatures, if preferred, by sending a Fedex package with filings tab for signatures together with an instructional letter and a return Fedex envelope.
  • File the initial and amended Form D’s with Securities and Exchange Commission.
  • Prepare and file
    • Initial and renewal state required filings
    • State terminations
  • Prepare electronic versions for your and outside counsel records
  • Generate Edgar codes
  • Monitor fund sales for ongoing compliance

Public Company Securities

  • Section 16
  • Form 3 – Initial Statement of Beneficial Ownership of Securities
  • Form 4 – Statement of Changes in Beneficial Ownership of Securities
  • Form 5 – Annual Statement of Changes in Beneficial Ownership of Securities

Agile Legal provides these services in varying combinations for subscription or an hourly basis enabling you to have more predictable costs. Call or email us today to learn more about how we can help you manage your bankruptcy projects.