Securities Offerings & Compliance
We provide a broad range of legal services to hedge funds and alternative investment funds, such as mortgage pools and collateralized mortgage obligations. Fortra Law has collectively represented thousands of funds nationwide.
Practice Areas:
Overview
Securities Offerings & Compliance
Whether you are an investor raising capital through a private placement or a fund manager seeking SEC-compliant structuring, the Fortra Law Securities team specializes in securities offerings and compliance, capital raising, and fund structuring. Learn more about our securities offerings and compliance services below.
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Clients Served
Proudly serving more than 5,000 clients nationwide, from emerging lenders to industry leaders.
Private and Public Fund Formation
We assist lenders in forming private and public funds tailored to their investment strategies and regulatory obligations. Our team ensures that fund structures are optimized for compliance, tax efficiency, and investor alignment.
Services include:
- Formation of private and public funds
- Drafting partnership, operating, and subscription agreements
- Structuring investor rights and capital commitments
- SEC and state regulatory filings and reporting.
Real Estate Investment Trusts
Fortra Law helps clients create and manage Real Estate Investment Trusts (REITs), designed to provide tax benefits and maximize investor returns. Whether you’re establishing a REIT for private investors or a publicly traded structure, our team guides you through the legal, tax, and regulatory requirements to ensure compliance and operational efficiency.
Services include:
- Setting up REITs for private investors or public offerings
- Drafting governing documents, subscription agreements, and investor materials
- Structuring investor rights, distributions, and capital commitments
- Guidance on IRS qualification and ongoing compliance
- SEC and state regulatory filings and reporting
Advisory on Structure, Modeling, and Designing Offerings
We help lenders design and structure offerings that meet regulatory standards while achieving capital-raising objectives. Our attorneys work closely with your team to optimize legal and financial frameworks.
Services include:
- Structuring equity, debt, and hybrid offerings
- Drafting offering documents and investor agreements
- Strategic guidance on capital allocation and distribution
- Ensuring alignment with SEC and state regulations
Securities Compliance for Lenders
Fortra Law provides proactive support to mitigate regulatory risk and maintain ongoing securities compliance for lenders. Our team represents lenders facing regulatory inquiries, investigations, or enforcement actions. We offer hands-on regulatory defense to protect your business, licenses, and investor relationships.
Services include:
- Compliance audits and risk assessments
- Preparation and review of filings and disclosures
- Corrective action plans for compliance gaps
- Ongoing guidance on evolving securities regulations
- Representation in SEC or state regulatory investigations
- Defense strategy and communications with regulators
- Resolution planning and negotiation of settlements
- Risk mitigation to protect ongoing operations and offerings
Fintech and Crowdfunding Offerings
Fortra Law advises lenders on fintech and crowdfunding offerings, helping clients raise capital through modern platforms while ensuring full compliance with securities laws.
Services include:
- Structuring fintech and crowdfunding offerings
- Drafting offering documents and investor disclosures
- Risk assessment and mitigation for crowdfunding campaigns
- Guidance on state and federal securities requirements
Digital/Tokenized Offerings
We assist lenders exploring digital and tokenized securities offerings, ensuring innovative offerings meet regulatory standards while providing scalable investment solutions.
Services include:
- Structuring digital and tokenized offerings
- Drafting smart contracts and investor agreements
- Integration with digital investment platforms
- Ongoing legal guidance for digital asset compliance
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