148 Deer Hill Avenue, Danbury, Connecticut 06810
Call to speak with an attorney at
Collins Hannafin, P.C

Video conferences available
Call to speak with an attorney at
Collins Hannafin, P.C

Video conferences available

Greater Danbury Law Firm Skilled in Private Placement and Securities Offerings

Our in-depth securities knowledge distinguishes us as a leading choice in Fairfield and Southern Litchfield counties

Securities laws and regulations are an intricate and specialized area of the law. Collins Hannafin, P.C. practices in this highly valuable legal area, and our attorneys can analyze your small business for potential benefits with respect to capital investment and private placement offerings.

Intimidating securities laws and regulations should not work against the success of your business

The first set of laws regulating securities in the United States was the Securities Act of 1933. The next year brought the Securities Act of 1934, which led to the creation of the Securities and Exchange Commission (SEC), which aims to protect investors, maintain efficient capital markets and facilitate capital formation through its broad authority over all aspects of the securities industry.

Fast-forward several decades and the Sarbanes-Oxley Act of 2002 was enacted, bringing about reform to U.S. business practices to enhance corporate responsibility and financial disclosure and prevent fraudulent corporate and accounting practices.

The latest development in securities law is the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 that reshaped the U.S. regulatory system regarding consumer protection, trading restrictions, credit ratings, corporate governance and disclosure, and transparency.

If your business could benefit from access to capital through the securities market, nothing in the securities laws briefly summarized above prevent you from doing so. By relying on our skilled securities attorneys, your business can raise money and move to the next level.

Private placement securities offerings

Small businesses seeking to raise capital by selling security interests may do so without registering with the SEC according to an exemption provided in the Securities Act of 1933. The act does require extensive disclosures regarding:

  • Nature of the venture
  • Character of the business
  • Risk factors involved in investing in the venture

These disclosures take the form a Private Placement Memorandum (PPM) that is distributed to a brokerage firm for offer and sale of the securities. Our securities attorneys guide you through private offerings, including planning for and preparing the PPM, while ensuring compliance with securities laws throughout the process.

Contact us for a consultation regarding your securities offering or arbitration needs

Collins Hannafin, P.C. welcomes the opportunity to advise you and represent your business in securities transactions and arbitration. Call 203-885-1938 or send us a message online to learn more about our full-service law firm in Danbury. We also serve clients in New Milford, Bethel and Newtown.


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