Securities Compliance and Blue Sky

Agile Legal's team of experienced securities professionals are able to assist your organization with SEC filings and compliance needs as well as state securities and Blue Sky filings and registrations.  From fund formation through fund closure, Agile Legal is able to assist throughout the entire life cycle of the fund.

Some of the securities compliance tasks with which Agile assists include:

  • Review historical sales transactions, state and federal filings, and exemption reliance history to verify statutory and regulatory compliance. In many cases, Agile Legal's securities professionals find funds relying on old statutes or expired exemptions.
  • Review and analyze any possible state filing triggers. Many times Agile Legal's analysis reveals funds are no longer entitled to an exemption because sales transactions have triggered a filing obligation.
  • Provide Agile comprehensive Blue Sky Report customized based on your portfolio including:
    • Analysis of Blue Sky history with current exemption statues by fund and state for all self-executing exemptions where no notice filing is required.
    • Federal and state filing analysis with applicable statutes and filing obligations where notice filings are required.
    • Comprehensive federal and state filing fees, along with penalties and fines, if any, for failures to file as well as ongoing compliance and maintenance requirements and fees.
    • Agile Legal's experience-based issue analysis and jurisdictional notes and comments by state.