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.
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.
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 Trust Investments
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 and Regulatory Defense
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
Lorem Ipsum is simply dummy text
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
- Lorem Ipsum is simply dummy text of the printing and typesetting industry.
Contact Our Banking & Finance Team
Loan Document Services
Fortra Law’s Banking & Finance team delivers precise, compliant, and custom-tailored loan documents. From single-family to commercial portfolios, we ensure your agreements meet every state and federal requirement. Click here to see a full list of common loan products we service and ancillary loan documents we advise and prepare.
Services include:
- Loan document drafting
- Structuring and compliance review before document creation
- Ancillary document preparation (guarantees, intercreditor, and subordination agreements)
- Custom flat-fee pricing based on deal complexity
Closing Coordination and Support
Our experienced team of attorneys and processors guides lenders through the entire loan closing process, ensuring every document, signature, and settlement item is properly executed.
Services include:
- Entity, title, and insurance review
- Coordination with title and escrow for clear closing conditions
- Review of settlement statements and executed loan documents
- Final approval and authorization to close
Secondary Market and Post-Closing Documentation
Fortra Law’s Banking & Finance team delivers precise, compliant, and custom-tailored loan documents. From single-family to commercial portfolios, we ensure your agreements meet every state and federal requirement. Click here to see a full list of common loan products we service and ancillary loan documents we advise and prepare.
Services include:
- Loan sale, participation, and hypothecation agreements
- Modification, extension, and assumption agreements
- Securitization and CLO preparation
- Broker, servicing, and investor agreements
Our Services
Corporate Business Law
Securities & Capital Markets
Our Services
Corporate & Securities
Banking & Finance
Litigation & Bankruptcy
Why Choose Us
Fortra Law is the nation’s largest law firm dedicated almost exclusively to the private/non-conventional lending space and is the leading legal resource for specialty lenders, asset-based lenders, private lenders, and non-bank institutions. Our legal departments include Banking & Finance, Corporate & Securities, and Litigation & Bankruptcy, offering lenders a vertically integrated suite of services while our Fortra Conference Line provides networking and educational opportunities to the industry at large. Reach out today to see how we can partner together.
Your Legal Resource Hub
Conference
Line
50+ Events
Lender Lounge
Podcast
100+ Episodes
Featured
Articles
500+ Articles
Coming Up Next
APR 28
Registration Open
Lender Lounge Season 6, Episode 7 | Online Event
Cultivating Success Through Connection with Kendra Rommel
MAY 13-14
Early Bird
LeverageCon5 | Fairmont Dallas Hotel
Join industry leaders Kevin Kim, Jennifer Young, and Noah Sturgeon
MAY 28
Registration Open
Webinar | Online Event
Private Lending Capital Stratagies: Do REITs Still Make Sense In 2025?
What is Lorem Ipsum?
Lorem ipsum dolor sit amet, consectetur adipiscing elit, sed do eiusmod tempor incididunt ut labore et dolore magna aliqua. Ut enim ad minim veniam, quis nostrud exercitation ullamco laboris nisi ut aliquip ex ea commodo consequat.