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Our attorneys have extensive experience counseling clients in capital raising transactions and representing brokers and investment advisers in connection with compliance with federal and state securities laws.
Kalberer LLP provides counsel in all aspects of the private placement of securities, representing issuers, equity funds, angel investors, institutional investors, and venture capital firms in every type of private financing transaction, including seed financing, angel investments, venture capital financing, later stage equity or mezzanine financing. Our attorneys are well versed in the Securities Act of 1933 and the Securities Exchange Act of 1934, including limited offerings under Regulation D, small offerings under Regulation A and the resale of control and restricted securities under Rules 144 and 144A. From properly structuring the private offering to meet the goals of your business plan, to preparing your private offering memoranda, to putting together the appropriate disclosure documents, our attorneys will provide creative and expedient services to help you achieve your goals.
Our team represents investment advisers in connection with their compliance with state and federal securities law and SEC regulations. We counsel investment adviser firms with Form ADV filing requirements, compliance with SEC and state rules for operation of investment advisers, and assistance with responding to SEC and state examination issues. In addition, we help managers of U.S. private investment funds meet the requirements for exemption from registration as investment advisers under SEC and state rules.
Our attorneys counsel broker-dealers with respect to ongoing SEC and FINRA compliance, audits and investigations, preparation of federal and state securities filings, including changes in business, ownership or management, provide advice on and defending clients in SEC enforcement matters and representing broker-dealers and registered representatives before the FINRA. We also represent unregistered affiliates of registered broker-dealers that wish to engage in securities-related activities.