Securities Law and Compliance for Tech Founders

Our securities law and compliance services are ideal for:

• Early-Stage Startups: Founders raising seed funding or Series A rounds, needing guidance on regulatory compliance as they bring on investors.
• Growth-Stage Companies: Tech startups preparing for further rounds of financing or considering an IPO, requiring in-depth compliance and reporting support.
• Tech Founders and CEOs: Leaders navigating complex securities regulations while focusing on scaling their business.
• Private Companies Preparing for Public Offerings: Companies that may be considering going public and want to ensure full compliance with SEC and state laws.

Our legal team provides end-to-end support to help tech founders manage securities law obligations while focusing on growth:

• Regulatory Compliance for Funding Rounds: We guide tech founders through SEC and state regulations for private fundraising, including preparing private placement memoranda, complying with Regulation D exemptions, and other securities law requirements.
• Investor Agreements and Documentation: Our team drafts and reviews term sheets, shareholder agreements, and stock option plans, ensuring clear and compliant relationships with investors.
• Corporate Governance and Board Compliance: We help founders establish governance frameworks and board structures that align with securities laws, preparing for future funding or potential IPO.
• Ongoing Reporting and Disclosure: For startups preparing for an IPO or dealing with public investors, we support quarterly and annual filing requirements, such as SEC Forms 10-Q, 10-K, and disclosures.
• Risk Management and Compliance Training: We offer tailored compliance training for tech teams and boards, ensuring founders understand securities law requirements and can proactively manage risks.

Our firm has a unique focus on the needs of tech founders, offering deep experience in both startup law and securities regulations. We provide clear, practical guidance so founders can confidently raise capital, manage investor relationships, and position their companies for growth, all while minimizing legal risk.

Launching or scaling your tech company with strong securities compliance is easy with Global Esquire Law Firm:

1. Schedule a Consultation: Contact us to discuss your funding plans and compliance needs.
2. Compliance Strategy and Document Preparation: We develop a tailored compliance plan and help prepare investor agreements, offering documents, and filings.
3. Compliance Training and Risk Management: Our team offers training for founders and boards on securities law and compliance best practices.
4. Ongoing Support and Monitoring: We provide continuous guidance on regulatory changes and help manage compliance as your company grows.

• What are the main compliance requirements when raising capital?
  Founders must comply with SEC regulations for private offerings, often using exemptions like Regulation D to avoid public filing requirements while raising funds.
• How can founders protect themselves from potential securities violations?
  Clear documentation, proper disclosures, and regular compliance checks are essential. We assist with drafting investor documents and ensuring compliance with securities laws.
• Do tech startups need to conduct compliance audits?
  Yes, especially before major funding rounds or a potential IPO. Regular audits help identify and address compliance issues early.
• What are the requirements for offering stock options to employees?
  Stock options must be structured in accordance with securities and tax laws to avoid penalties and ensure employee incentives are compliant and beneficial.