Cline Williams serves a variety of publicly traded and privately owned companies, across a broad spectrum of industries. These include: bioengineering, biomedicine and biotechnology businesses; banks, bank holding companies, securities broker dealers, underwriters, investment advisors and other financial service providers; commercial, agricultural and manufacturing businesses; oil and gas production and transportation companies; restaurants and other food service providers; retailers; commercial, multifamily housing and assisted living real estate developers; and other venture capital and investment enterprises.
Cline Williams lawyers help our clients structure their capital-raising transactions to comply with the securities laws, and we advise promoters and issuers about reporting, disclosure and corporate governance obligations. Our experience includes:
- Exempt capital-raising transactions, including Regulation D private placements
- Formation, registration, operation, acquisition and distribution of mutual funds
- Investment advisor registration, compliance and required federal and state filings
- Private investment company formation and regulation
- Broker-dealer registration and compliance
- Registration of transactions and securities pursuant to the Securities Act of 1933, the Securities Exchange Act of 1934 and state securities laws, including initial public offerings
- Periodic reports required by the Securities Exchange Act of 1934
- Public company mergers and acquisitions, including proxy statements, federal and state filings and related tax opinions
