Securities
Navigating Complex Regulatory Frameworks
Every issuance of stock or other securities, public or private, exists within a web of federal and state regulations that shape disclosure, structure and liability. A sound securities compliance strategy demands precision, judgment and a thorough understanding of evolving market and regulatory expectations.
Our Services
Our attorneys regularly advise investors, issuers and financial intermediaries on securities law compliance in capital-raising, acquisition and restructuring contexts. We understand the interplay between transaction execution and regulatory risk, helping clients anticipate and manage SEC, FINRA and state law requirements effectively.
Our experience includes:
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Private placements under Section 4(a)(2) and Regulation D
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Disclosure obligations and antifraud compliance
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Securities Act and Exchange Act compliance
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Periodic and current reporting under the Exchange Act
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Blue Sky and other state law filings
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NYSE and Nasdaq listing standards
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Section 3(a)(9) and 3(a)(10) exchange transactions
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Broker-dealer and finder issues
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PIPE transactions and structured equity
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Integration and resales under Rule 144
Jasso attorneys combine technical precision with practical insight to support compliant, efficient and strategic securities transactions.
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Integrated Expertise
Jasso maintains a network of outstanding tax and trusts and estates specialists who collaborate with our clients through our firm. This integrated model allows us to deliver seamless, multidisciplinary support while maintaining the discretion and responsiveness our clients expect.
Focused. Disciplined. Aligned.
Jasso provides investors, issuers and financial intermediaries with experienced counsel that combines the sophistication of institutional practice with the alignment and pragmatism that securities practice demands.