From friends and family investors to private equity, we guide our clients through the confusing morass of laws, regulations and deal terms with practical and common sense solutions.

As securities counsel for privately-held businesses in a wide range of industries, we apply our legal knowledge and business experience to assist our clients in raising capital in private markets. To do this effectively, our clients must utilize exemptions from registration under the Securities Act of 1933 and comparable state laws. At MPS Law, our attorneys analyze a client’s situation, assist the client in identifying the applicable exemption, and guide the client through the process while advising our clients about anti-fraud obligations. The exemptions from registration include the following: 

• Regulation D
• Section 4(2) the statutory private exemption
• Section 4(6)
• Section 3(a)(11) and Rule 147 - intrastate exemption
• Regulation A
• Section 3(a)(9) securities exchanged with existing shareholders
• Rule 701 employee compensating awards

 In addition, we represent clients in other activities subject to various securities laws and regulations, including shareholders, officers and directors of public companies, broker-dealers and investment advisers.