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By providing active counsel, our Securities team stays connected to our clients’ businesses and helps them comply with disclosure obligations efficiently and effectively. Whether we are acting as outside general counsel or solely handling securities matters, we are focused on driving success and helping our clients reach their strategic objectives.

Koley Jessen assists public and private companies on a variety of compliance and disclosure matters. We regularly advise clients on all aspects of their disclosure and reporting obligations under the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act, and the Dodd-Frank Act. We advise clients on corporate governance matters, including compliance with New York Stock Exchange, NASDAQ, and NYSE MKT Stock Market listing requirements.

We also offer a full range of services to our investment fund clients and their sponsors, including fund formation, structuring, management, and capital raising. Our ongoing regulatory compliance work includes the Securities Act, the Investment Company Act, the Investment Advisers Act, and other legal issues that arise in the operation of private investment funds.



Securities Act of 1933

  • Registered securities offerings on Securities and Exchange Commission (“SEC”) Form S-3
  • Registered securities offerings on SEC Form S-8
  • Private placements of securities pursuant to SEC Rule 506 and other applicable securities registration exemptions

 Securities Exchange Act of 1934

  • Proxy statements for annual meetings, including executive compensation disclosures
  • Periodic reporting on SEC Forms 10-K and 10-Q
  • Current reporting on SEC Form 8-K
  • Beneficial ownership reporting on SEC Forms 3, 4, and 5 and SEC Schedules 13D and 13G

Investment Company Act of 1940 and Investment Advisers Act of 1940                     

  • Private equity, venture capital, hedge, and real estate fund offerings that qualify for Section 3(c)(1), Section 3(c)(7), and other applicable registration exemptions under the Investment Company Act
  • Investment adviser, private equity, venture capital, hedge, and real estate fund sponsor compliance with the Investment Advisers Act, and applicable state law, requirements
  • Family offices regarding the exclusions from the Investment Advisers Act
  • Mutual fund independent directors compliance with their obligations under the Investment Company Act    

News & Publications


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