Securities Law Compliance

Vorys represents issuers and investors – including numerous financial institutions – in nearly all aspects of federal and state securities law compliance.  Our securities compliance capabilities are part of a larger practice that services the corporate and regulatory matters for a variety of financial institutions.  Our attorneys bring broad experience representing financial institutions in this matter, but also bring a wealth of knowledge doing similar work in several other industries. Those include retail, manufacturing, insurance, consumer products, home building, information technology, restaurant and air transportation.  Our investor clients include private and angel investors, family offices, venture capital firms and various lenders.

We have extensive experience in advising our clients on federal and state securities law compliance and disclosure matters, including:

We use our experience to assist our clients in navigating the increasingly complex, and constantly changing, regulatory framework imposed by the Securities and Exchange Commission (SEC), other federal regulators and national securities exchanges, as well as by state corporate law and regulators.  Because many of our clients are organized under Ohio and Delaware law, our lawyers have particular proficiency in the corporate and securities laws of those states. 

Our securities attorneys place a particular emphasis on developing a thorough understanding of our clients’ businesses, needs and goals.  We believe that this emphasis enables us to provide high-quality, tailored and efficient securities representation that is responsive to the unique businesses, needs and goals of our clients.