Securities & Compliance

Securities regulation is one of the most complex and consequential areas of corporate law. From the Securities Act of 1933 and the Securities Exchange Act of 1934 to the JOBS Act and Regulation D, the regulatory framework governing capital formation imposes exacting requirements on issuers, officers, and directors. Our securities practice advises both public and private companies on compliance with federal and Illinois securities laws — including the Illinois Securities Law of 1953 (815 ILCS 5) and blue sky registration and exemption requirements administered by the Illinois Secretary of State's Securities Department. We help Chicago-area businesses raise capital efficiently and lawfully while avoiding the severe civil and criminal penalties that accompany securities violations.

Whether you are structuring a Regulation D private placement to fund your next growth phase, preparing disclosure documents for a Regulation A+ offering, navigating the reporting obligations of a publicly traded company, or advising your board on insider trading policies and Regulation FD compliance, we provide comprehensive securities counsel at every stage. Our team regularly coordinates with broker-dealers, placement agents, transfer agents, and accounting firms to ensure that every aspect of the capital-raising process is handled properly. We also advise on equity compensation plans and the securities law implications of stock option grants, restricted stock awards, and other incentive arrangements used by Chicago-area companies to attract and retain top talent.