Below are some of the services we provide. Of course, our solutions are not limited to what you see below. Connect with one of our team members to learn more.

• Accredited investors, qualified purchasers and institutional investors
  • Accredited investor verification under Rule 506(c)
• Advertising, general solicitation and marketing activities
• Agent or salesperson registration and licensing
• Anticorruption policies and procedures, Office of Foreign Assets Control (OFAC) sanctions lists
• Beneficiary designations, joint ownership
• Blue Sky laws, state securities regulations, administrative guidance and filing practices
• Broker, broker-dealer or dealer registration, licensing and compliance
• Certificated and uncertificated securities, book-entry system
• Charitable Investment Pools, Collective Investment Funds, Pooled Income Funds
• Charitable Gift Annuities
• Charitable Revocable Trusts
• Charitable solicitation licensing requirements
• Church Extension Funds
• Community Development Financial Institutions (CDFIs)
• Commercial lender licensing and compliance
• Consumer privacy and data security
• Committee on Uniform Securities Identification Procedures (CUSIP) Numbers
• Donor-Advised Funds
• Electronic delivery of offering materials
• Investment adviser, asset management and other advisory services
• Investment Company Act of 1940 requirements and compliance
• Investment-grade rated debt securities offerings and credit ratings agencies (Moody’s, Fitch, S&P)
• Philanthropy Protection Act of 1995 requirements and compliance
• Offering Circular, Prospectus, or Private Placement Memorandum
• Regulation A and Regulation A+ exempt offerings
• Regulation CF crowdfunding offerings
• Regulation D (Rule 506(b) and Rule 506(c)) exempt offerings
• SEC Form 13F filings and Section 13(f) securities compliance for institutional investment managers
• State securities examiner inquiries, enforcement actions, consent judgments and rescission offers
• Transfers of investment securities under Uniform Commercial Code (Article 8)
• Underwriters, placement agents, selling agents and registered broker-dealers
• Uniform Transfers to Minors Act (UTMA) and Uniform Gifts to Minors Act (UGMA)