Securities Law Advising for Businesses and Investors

Raising capital or making investments in today’s regulatory environment requires a deep understanding of complex securities laws. 

At Kamps Legal, we provide trusted legal counsel to  businesses, startups, and investors seeking to navigate federal and US securities regulations with confidence.

Whether you’re planning a private placement, seeking venture capital, or structuring an investment deal, compliance is critical to protecting your interests and avoiding costly penalties. 

Our securities attorneys help you stay compliant, minimize legal risks, and complete your transactions efficiently and lawfully.

 To schedule a consultation with a knowledgeable securities law attorney.

What is Securities Law?

Securities law governs how businesses issue and sell ownership interests (like stocks or convertible notes) and how investors buy them. The goal is to ensure transparency, fairness, and protection for all parties involved in capital markets.

Both the U.S. Securities and Exchange Commission (SEC) and the US Department of Financial Protection and Innovation (DFPI) regulate these transactions. Even for private companies that are not publicly traded, offering equity or raising funds can trigger important legal requirements—such as providing disclosures, filing exemption notices, and following advertising restrictions.

Non-compliance can result in fines, investor lawsuits, or even criminal liability. That’s why it’s essential to work with an experienced securities attorney

Our Securities Law Services

Kamps Legal provides end-to-end compliance support for financial firms and securities-issuing businesses:

  • Legal support for Rule 506(b), 506(c), Regulation A, and US exemptions such as 25102(f).

  • Drafting and reviewing Private Placement Memoranda (PPMs), investor questionnaires, and subscription agreements.

  • Ensuring your fundraising activities comply with SEC, FINRA, and state-level regulations.

  • Advising on risk disclosures and obligations under anti-fraud provisions.

  • Preparing and filing Form D, Form U-2, and US qualification or exemption filings.

  • Identifying red flags before you offer or accept capital.

  • Representing companies and investors in pre-transaction legal review.

Who We Serve

Kamps Legal serves a wide range of clients involved in capital markets, including:

  • Startups & Founders raising seed, Series A, or later-stage funding

  • Private Companies structuring equity or convertible debt offerings

  • Angel Investors & Venture Capital Firms evaluating legal risks in deals

  • Broker-Dealers & Investment Advisors needing transactional guidance

  • Corporate Boards & Executives responsible for securities compliance

Whether you’re launching your first raise or managing a complex investor portfolio, we’ll help you stay compliant and protected.

Common Legal Risks & How We Help

Here are a few common pitfalls in securities transactions—and how we help prevent them

  • Our Solution: We handle all exemption filings for federal and state compliance.

  • Our Solution: We draft clear, investor-ready disclosures to protect you legally.

  • Our Solution: We advise on permissible communication and advertising under Reg D and Reg A.

  • Our Solution: We create strong documentation and disclosures to reduce liability.

Why Choose Kamps Legal?

  • US-Focused Expertise:

    We understand both federal securities law and US’s Blue Sky Laws.

  • Startup & Business Friendly:

    We tailor our services to the needs of early-stage and growth companies.

  • Risk-First Legal Strategy:

    We help clients identify legal exposure and correct compliance gaps before they become legal problems.

  • Proven Track Record:

    Our attorneys have helped dozens of companies successfully raise capital without regulatory issues.

 FAQs

  • A security is any investment where someone contributes money expecting a return from others’ efforts. This includes stocks, notes, SAFE agreements, and convertible debt.

  • Yes, many businesses raise capital through exemptions like Regulation D. However, you must still file notice forms and follow strict rules.


  • Penalties may include investor lawsuits, rescission (returning the money), civil fines, and in some cases, criminal charges.

  • These are required for exempt offerings under Regulation D (federal) or US law. They must be filed shortly after selling securities to investors.


Speak with a Securities Law Attorney Today

Whether you’re preparing to raise capital or reviewing a potential investment, having the right legal advisor is essential. Kamps Legal helps businesses and investors avoid regulatory pitfalls and execute deals with confidence.