Securities

The capital formation process, regardless of the amount, almost invariably involves federal and state securities laws and regulations. TWG has represented numerous companies in preparing and completing their initial public offerings and secondary offerings in compliance with the Securities Act of 1933, as well as their periodic reporting requirements under the Securities and Exchange Act of 1934. We also have a long history of advising and assisting smaller companies raise capital in transactions which, though exempt from registration, require carefully prepared documentation in order to assure compliance with applicable federal and state exemptions.

TWG also assists investment advisers with registration under the Investment Advisers Act of 1940, including annual amendments, continuing compliance issues and SEC audits.

Our securities practice also involves the representation of investors in connection with due diligence investigations and evaluations of issuing companies and review of investment documentation.

Primary contact: Thomas P. Garretson