Securities Law – Malik Law Group

Services
Transactions

Malik Law Group is intrinsically tied to the world of securities law–public and private–and include:

Comprehensive review of securities laws, including registration obligations and exemptions, as they apply to a fund

For private offerings, filing all documents with the U.S. Securities and Exchange Commission (“SEC”) and U.S. state securities divisions in accordance with Rule 506 or other private offering exemptions, including Form D and related “blue sky” filings

Registering securities offerings by coordination or qualification with the SEC and U.S. state securities divisions

Ensuring ongoing compliance and making regular filings in accordance with securities registration obligations

Registration of agents of the issuer with state securities divisions

For investors, conducting thorough due diligence on private offerings and their management

In summary, Malik Law Group provides comprehensive securities law representation.

Examples of Transactions:

Representation of a broker/salesperson regarding its negotiations with the issuer of certain securities to ensure compliance at both the state and SEC level;

Analyzing a purchase and sale transaction of a security to determine if the security should be registered and if the seller should be a licensed broker, agent, salesperson, or solicitor;

Analyzing a purchase and sale transaction of a security to determine if there are solicitor broker/salesperson regulatory concerns and drafting referral agreements accordingly;

Drafting of pitch books, power point presentations, and other marketing materials; and

Researching state-by-state registration exemptions for the sale of securities.