Private Offerings

Southern California Securities Lawyers

Los Angeles Private Stock Offering Attorneys

Raising capital through private sources is not as complicated as many people think and, in fact, offers several advantages to consider if you are planning a new business venture. A primary advantage is that under Regulation D, adopted by the Securities and Exchange Commission in 1982, a private placement offering can be conducted as an exempt transaction and does not have to be registered with the NASD thereby saving a great deal of time and money for the entrepreneur or business owners. Other advantages to consider are that underwriting companies, securities brokers, or agents do not have to be involved in the offering and, that stocks can be sold by both the owner(s) and employees of the corporation.

To discuss the advantages a private offering can provide in more detail and discover whether or not this is the best financing option available to meet your needs— contact the Irvine, California, law offices of Oswald & Yap.

At Oswald & Yap, our extensive experience with both public and private securities practice and with a broad range of financing strategies provides significant benefits to the public and private companies we represent. If you are interested in raising start-up funds through venture capital transactions or private offerings, our attorneys can assist you with:

• private placements
• PPMs (private placement memoranda)
• angel investors
• mezzanine financing
• PIPE transactions
• regulation D compliance (rules 504, 505, and 506)
• SCOR (small corporate offering registration)

In addition to these services, our attorneys will explain the advantages of various options that are commonly used in these transactions and help you to determine whether a debt offering, a revenue sharing note, discounted common stock, convertible preferred stock, or common or preferred stock with warrants is the right option for your needs. In any case, with more than twenty-five years of experience and a wealth of securities law knowledge and expertise—our firm is an excellent choice to provide you and your company with smart advice and detail-oriented representation.

Focused on Business, IP, and Real Estate for Over 25 Years

Listed in the Bar Registry of Preeminent Lawyers since 1985, Oswald & Yap has ABOTA Certified (less than 3 percent of trial attorneys nationally) and AV Rated* attorneys on staff ready to assist you. Whatever your securities law needs, our Southern California securities lawyers will make certain every last detail is attended to and that all requirements are met. For more information about making a private placement offering—contact us today.

We offer a free in-office consultation to all prospective clients and a willingness to work with clients regarding fee arrangements and costs. We are a minority-owned firm and WMBE certified business that is proud to serve clients from a wide range of nationalities. Our attorneys are fluent in Spanish, Korean, Mandarin, German, Taiwanese, Arabic, and French.

*CV, BV and AV are registered certification marks of Reed Elsevier Properties Inc., used in accordance with the Martindale-Hubbell certification procedures, standards and policies. Martindale-Hubbell is the facilitator of a peer review rating process. Ratings reflect the confidential opinions of members of the Bar and the Judiciary. Martindale-Hubbell Ratings fall into two categories – legal ability and general ethical standards.