Securities Law & Corporate Governance

At HD Kelso & Associates, we provide strategic, responsive, and effective legal counsel in securities law and corporate governance. From early-stage capital raising to IPO and beyond, we guide clients through each step of their financial and regulatory journey.

We represent:

• Startup and growth companies
• Private equity and venture capital firms
• Underwriters and placement agents
   

Our services include:

• Angel, Venture, and Private Equity Financing

• Securitization Agreements (pledge, collateralization, UCC filings)

• Securities Compliance (U.S. and international)

• Transactional Documentation A–Z: LOIs, MOUs, due diligence, definitive agreements

• Equity & Debt Transactions: Stock, bonds, warrants, notes, CLNs

• Private Placements, IPOs, and Follow-On Offerings

• Shelf Registrations & deSPAC Transactions

• Mergers, Acquisitions, and Dispositions
   

We also support public companies with:

• SEC, state, and exchange filings
• Rule compliance assessments
• Ongoing reporting and disclosures
• Legal opinions and transaction compliance
   

We scale our representation based on your needs—from quick compliance checks to fully integrated legal strategy.

• Financing Transactions:
  Including securitization agreements, security and pledge agreements, collateralization, and UCC filings.
   
• Securities Law Compliance:
  Guidance on U.S. securities laws, including regulations related to both foreign and domestic investor participation in offerings.
   
• Transactional Documentation (A–Z):
  Negotiations, Letters of Intent (LOIs), Memorandums of Understanding (MOUs), due diligence, and definitive agreements.
   
• Corporate Transactions:
  Mergers & Acquisitions (M&A), Joint Ventures (JVs), entity creation, compliance, and governance.
   
• Equity & Debt Transactions:
  Stock, bonds, warrants, promissory notes, convertible instruments, and short-term foreign-issued notes (CLNs).