Securities law encompasses the laws and regulations surrounding the issuance, trading, and sale of securities. Securities refer to financial instruments that hold monetary value, such as stocks, bonds, derivatives, or mutual funds. These instruments are bought and sold by investors in various financial markets. Companies often issue securities as a way to raise capital for their business operations.
However, the laws surrounding securities are often complicated, and it can be difficult to understand them without proper guidance. Frederick M. Lehrer offers experienced securities law services to clients in the Orlando, Florida area, and the surrounding areas, as well as worldwide. If you or your business needs legal advice and representation in matters relating to securities, reach out today to schedule a free consultation.
What is Securities Law?
Securities law primarily governs the issuance, purchase, sale, and trading of financial instruments, such as stocks, bonds, and mutual funds. These laws help ensure transparency, fairness, and compliance to foster confidence in the financial markets while protecting businesses and investors from fraud and manipulation.
Given Florida's active business and investment climate, securities laws play a critical role in making sure the parties involved in financial dealings meet their obligations and uphold the laws enforced by federal agencies such as the U.S. Securities and Exchange Commission (SEC) and state-level regulatory bodies like the Florida Office of Financial Regulation (OFR).
Role of Securities Law Services
Securities law services play a critical role in ensuring compliance with federal and state regulations related to the issuing, trading, and reporting of securities. These services are typically provided by law firms specializing in securities law, which employ attorneys with extensive knowledge and experience in this complex field. Some key responsibilities of securities law services include:
Advising clients on compliance with federal and state regulations
Assisting with the preparation and filing of required documents with regulatory bodies
Representing clients in investigations and enforcement actions by regulatory agencies
Providing guidance on corporate governance matters related to securities laws
Conducting due diligence for mergers, acquisitions, and other business transactions involving securities
Securities law services play a crucial role in supporting businesses in their day-to-day operations as well as during major transactions such as mergers and acquisitions. It is the responsibility of securities law services to make sure that their clients comply with these laws. They provide guidance on compliance matters, assist with document preparation, and represent clients in dealings with regulatory agencies.
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How to Comply with Securities Law
To comply with securities law, you must understand the various regulations and laws that apply to their specific industry. This can often be complex since different laws exist at the federal, state, and international levels. Depending on your situation, an experienced securities law attorney can help you understand your obligations. Some common obligations of securities law include the following:
Ensure accurate and transparent information for investors: Conduct due diligence on proposed business transactions and make sure you make all necessary disclosures.
Adhere to insider trading regulations: Under securities law, you cannot use non-public information for personal gain. As a business owner, it is your responsibility to guide your employees and workers to prevent insider trading and make sure they comply with regulations.
Strengthen corporate governance: Draft comprehensive corporate governance policies and conduct board and shareholder meetings to improve transparency and oversight. Make sure all your corporate actions align with the applicable laws and regulations.
Maintain regulatory compliance: Stay updated on any changing laws and regulations, especially if your business operates in more than one state, country, or region. Be sure to implement measures to ensure compliance with any new requirements.
Properly navigate the going public process: Seek guidance for registering and meeting the legal requirements when transitioning from a private company to a public company.
Securities laws are in place to help businesses understand and adhere to the regulations set by the governing bodies, such as the U.S. Securities and Exchange Commission (SEC). This includes providing guidance on reporting requirements, insider trading restrictions, and disclosure obligations. By staying compliant, companies can avoid potential fines or penalties from regulatory agencies.
Unlimited, Flat-Fee Securities Services
Frederick M. Lehrer offers a wide range of securities law services tailored to meet the diverse needs of individuals and businesses worldwide. Some of the primary services he offers include:
Corporate securities offerings: When companies plan to raise capital through public or private offerings, they need to comply with securities laws to avoid severe penalties. Mr. Lehrer assists businesses with preparing and filing the necessary documentation required by both the SEC and Florida-specific requirements, such as registration statements, prospectuses, and private placement memoranda.
Investment fraud cases: Investment fraud can result in devastating financial losses for investors. Whether it is a case of Ponzi schemes, misrepresentation, or insider trading, Mr. Lehrer has the experience to protect victimized clients. He works diligently to recover losses and hold liable parties accountable, employing creative strategies that center on enforcing investor rights under Florida law as well as the Securities Act of 1933 and the Securities Exchange Act of 1934.
SEC: Being the subject of an SEC investigation can be intimidating. Frederick M. Lehrer provides clients with skilled representation during regulatory investigations and enforcement actions. His prior attorney experience with the SEC and the US Attorney’s office his understanding of securities law and experience in government-related matters make him a trusted advocate capable of defending his clients’ rights.
Drafting and reviewing contracts: Contracts play a pivotal role in securities transactions, and ensuring their accuracy is crucial to avoiding disputes and legal trouble. Mr. Lehrer offers meticulous drafting and review services for investor agreements, subscription agreements, partnership documents, and other legal instruments related to securities.
Operating a business in Florida also presents unique challenges and opportunities in securities law. Blue Sky Laws are designed to add an extra layer of protection for investors trading securities locally. These laws require particular disclosures and registration processes to ensure transparency between issuers and buyers.
Why Choose Frederick M. Lehrer?
Attorney Frederick M. Lehrer has built a reputation around his deep industry knowledge and his client-centered approach. By offering unlimited securities services for a single monthly flat fee, he strives to advocate for his clients through open communication and transparent availability. Some of the ways Mr. Lehrer can help include:
Extensive experience: With a career spanning three decades including his representation of public companies and private companies going public, Mr. Lehrer offers practical industry insight and hands-on experience for businesses and investors seeking sophisticated legal support.
Personalized attention: Unlike larger law firms, Frederick M. Lehrer provides individualized attention to every case. Clients work directly with Mr. Lehrer to benefit from one-on-one guidance and his unwavering commitment to achieving their goals.
Local representation: Based in the Orlando, Florida area, Mr. Lehrer understands the unique needs of Florida businesses and other businesses worldwide. Whether addressing Florida-specific securities matters or managing federal regulations, his tailored approach aims to make sure his clients receive strategic, locally-informed advice.
Results-driven approach: Securities law disputes or compliance issues often arise at critical junctures in business or investment endeavors. Mr. Lehrer’s focus is always on delivering practical and efficient solutions, allowing his clients to move forward confidently.
International Securities Law Attorney
Securities law is a highly complicated and regulated area of practice, and navigating requires a sharp legal mind, practical experience, and attention to detail. Whether you are a business owner raising capital or a Florida professional striving to comply with the law, Frederick M. Lehrer is here to guide you.
Located in the Orlando, Florida area and worldwide, Mr. Lehrer is committed to providing exceptional securities law services that protect his clients’ rights and advance their financial objectives. He also offers unlimited corporate and securities services for a flat monthly cash fee to improve the accessibility of his services. Contact the firm today to schedule a free consultation.