Securities

Whether a small organization with just a few people or a global conglomerate with operations in many countries, a business needs smart financial and legal representation. We offer advice on the procedural aspects and legal consequences of financial transactions.

Boddie & Associates is different from most law firms. We are nimble and get quickly the point with a get-it-done attitude. We do not waste a client’s time by focusing on what can’t be done. Instead, we seek ways to make it work and produce the desired results. We know the end game and get our clients there, smoothly, safely, and within the confines of regulatory compliance.

Our securities practice has six different areas of focus, including the following:
Corporate Finance and Securities

Corporate business transactions and financial transactions have both procedural features and legal consequences that decision-makers should understand before implementing. Here is where we can save time and effort by using our expertise to point out the various ways goals can be achieved to produce the desired outcomes. We help clients by finding ways to make it work rather than by focusing on what can’t be done. We know the end game and get our clients there efficiently, securely, and legally.

Our corporate finance transactions practice has many facets, including the following areas of expertise:

  • Initial Public Offerings
  • Secondary Public Offerings
  • Shelf Registrations and Take-Downs
  • High-Yield Debt Offerings
  • American Depository Share Offerings
  • Registered Exchange Offers
  • Spin-Off Transactions
  • Tender Offers
  • Convertible Debt Offerings
  • Rights Offerings
  • Debt Restructuring (In or Out of Bankruptcy)
  • SEC Compliance and Disclosure Interpretations
  • Insider Trading Rules and Regulations
  • Company Reporting Requirements
  • Financial Reporting Requirements
  • Requirements for 1099 Reporting
Mergers and Acquisitions

Companies in transition face a myriad of concerns and tasks, not the least of which include accounting matters, regulatory compliance, antitrust law, and employment and labor laws. We help companies involved in mergers and acquisitions (M&A), by focusing on the transition process and keeping it legal. Our approach is dynamic and geared toward saving time and money. We construct strategies to manage the evolution from what was to what is to be. We accomplish this by listening and taking the time to understand the unique circumstances and realities of each situation. We are focused on delivering results and creating processes that are smooth, level, and flowing.

Our M&A practice centers on the following areas of expertise:

  • Employee Benefits
  • Antitrust Law
  • Public Policy and Law
Hedge Funds

We cater to hedge funds companies on multiple levels. From locating and attracting new investors to matching funds to worthwhile investments, we handle every aspect. We guide new hedge funds through founding, funding and growth, offering a dynamic range of services to meet growing and changing needs.

We develop unique strategies to produce desired results for investing in hedge funds. We assist hedge fund managers using advanced investment strategies such as leverage, long, short and derivative positions, with the goal of generating high returns, in the absolute sense or over a specific market benchmark. We assist with the implementation of hedge fund accounting techniques.

We advise on the structuring and formation of equity hedge funds, private hedge funds, hedge fund mutual funds, credit hedge funds, and hedge of fund of funds.

Our hedge fund practice focuses on the following areas of expertise:

  • Securities and Derivatives Regulatory Matters
  • Compliance with the Regulation of Hedge Funds
  • Business Term Alternatives
  • Marketing Strategies
  • Trading Documentation
  • Exchange Listings
  • Internet Usage
SEC Compliance

We are experienced in dealings with the Securities and Exchange Commission (SEC) and all related state agencies. We represent clients in federal, state, and civil securities litigation. Our clients are individuals and companies, corporate officers and directors, audit committees, broker-dealers, investment banks, independent professionals, and others. We advise clients on state and federal regulations, registration, and compliance.

We understand how the SEC functions, its structure, and how the SEC compliance checklist applies to cases brought before us.

We offer counsel on SEC compliance and disclosure interpretations and SEC compliance training, SEC compliance officer training, including the following:

  • Financial Accounting Fraud
  • Disclosure and Reporting Irregularities
  • Stock Option Backdating
  • Insider Trading
  • Broker-Dealer Trading and Operations
  • Initial Public Offerings (IPOs)
  • Secondary Public Offerings
  • Hedge Fund Conduct
  • Trading Irregularities
  • Issues of the Foreign Corrupt Practices Act
  • No-Action Letters from the SEC
  • Issue of the Investment Company Act
Private Equity Investors and Venture Capital

We function at the heart of private equity investment and capital asset management with a value-added, proactive method. After assessing a client’s needs and risk profile, we recommend appropriate investments, then guide our client through the negotiation process. Our approach is practical and answers the question – What is regulatory compliance? Our solutions are business focused and include asset and liability management.

We provide legal representation and counsel on all aspects of financing including the following:

  • Leveraged Buyout Funds
  • Distressed Investment Funds
  • Private Equity Funds
  • Venture Capital Funds
  • Private label Funds
  • Real Estate Opportunity Funds
  • Capital Asset Management
  • Co-Investment Strategies
  • Investor Relations Group
  • Sponsor and Investor Counseling
  • Choosing an Entity and Jurisdiction
  • Preparation of Organizational and Offering Documents
  • Regulatory Compliance
  • Carried Interest and Other Compensation Arrangements
US International Transactions

We wish to optimize a client’s ability to engage in the most cost-effective and timely, international financial transactions, and international banking transactions. We counsel domestic companies in the expansion and management of their businesses globally. We help clients deal with international trade regulations and restrictions, taxation of international transactions, and PayPal international transactions, among many other examples.

We deal on a regular basis with many government agencies such as the:

  • Office of the US Trade Representative
  • US International Trade Commission
  • US Department of State
  • US Department of the Treasury
  • US Department of Commerce
  • US Department of Justice
  • US Customs and Border Protection

We provide legal representation and counsel on all aspects of international transactions including the following:

  • International Business Transactions
  • Corporate Management
  • International Joint Ventures
  • International Mergers and Acquisitions
  • Intellectual Property Protection and Litigation
  • Trademark and Copyright Services
  • Public and Private Equity and Debt Financing
  • Venture Capital Financing
  • Corporate and Securities Regulatory Compliance
  • Entertainment Law and International Event Management