Securities

Finance and Securities
Merger & Aquisitions
Hedge Funds
SEC Compliance
Private Equity & Venture Capital
International Transactions



Finance and Securities

Today more than ever, your business needs smart, representation.  Our lawyers can offer you advice that relates to the procedural aspects as well as the legal consequences of corporate and securities transactions and other corporate actions.  Our lawyers are experienced in multiple facets of corporate finance transaction, including, but not limited to:

  • initial and secondary public offerings
  • shelf registrations and takedowns
  • high-yield debt offerings
  • American Depositary Share offerings
  • registered exchange offers
  • spin-off transactions
  • tender offers
  • convertible debt offerings
  • rights offerings
  • debt restructurings, both in and out of bankruptcy.

In addition, we provide advice to clients on issues such as

  • the periodic reporting requirements of the Securities Exchange Act of 1934
  • disclosure issues
  • insider trading issues
  • other SEC enforcement matters.


 Merger & Aquisitions

Companies involved in a Merger & Acquisition transaction need guidance to address accounting matters along with legal and regulatory issues.  The lawyers at Boddie & Associates take a dynamic role in constructing a strategy and managing each and every transaction from the large to the small. We listen and take the time to understand the unique business circumstances of each individual client. Above all, we are focused on delivering results and providing services in the following areas: 

- Antitrust
- Employee benefits
- Labor and employment
- Public law and policy


Hedge Funds

The lawyers at Boddie & Associates help guide hedge funds through founding, funding and growth, offering a diverse and dynamic range of services to meet any growing or changing needs.  We understand the legal aspects of creating and maintaining successful hedge funds, and we cater to our clients on multiple levels.  From locating and attracting new investors, to matching the fund to worthwhile investments, our lawyers are trained in every aspect involved. 

We provide a full range of legal services to our hedge fund clients, including advice on legal structure and other formation issues including:

  • securities and derivatives regulatory matters
  •  business term alternatives
  • marketing arrangements
  • trading documentation
  • exchange listing
  • internet usage  

Our lawyers will aggressively assist in the management of your portfolio of investments using advanced investment strategies such as leverage, long, short and derivative positions in both domestic and international markets with the goal of generating high returns (either in an absolute sense or over a specified market benchmark).  We will develop an individualized investment strategy for you to produce the results you want.  Our services also include advising on the structuring and formation of traditional hedge funds, specialized strategy funds and fund of funds. 

 

SEC Compliance

The attorneys at Boddie & Associates are experienced in dealing with the Securities and Exchange Commission, as well as all related legislations and agencies.  Aside from SEC, state, and federal litigation, our lawyers also represent clients in civil litigation.  We represent companies, officers and directors, Audit Committees, broker-dealers, investment banks, outside professionals and others in all aspects of securities and corporate litigation and investigations. 

We understand how the SEC is structured and how its regulations apply to any case brought before us.  We offer counsel on SEC investigation issues, including:

  • financial accounting fraud
  • disclosure and reporting irregularities
  • stock option backdating
  • insider trading
  • broker-dealer trading and operations
  • IPOs and other offerings
  • hedge fund conduct
  • trading irregularities
  • Foreign Corrupt Practices Act issue

We advise clients on compliance issues under the federal securities laws, as well as offering counsel on the availability of exemptions from the state and federal registration process and obtain SEC no-action letters involving a broad spectrum of matters.  We counsel clients with respect to compliance with state securities regulations and the Investment Company Act as well.  As defense attorneys, we quickly create a strategy to assist clients with interviews, hearings, and documents in order to convince regulators that no further action is necessary.           



Private Equity & Venture Capital

At the heart of private equity, asset management, and venture capital management are the lawyers who advise on client investments.  The lawyers at Boddie & Associates conduct an assessment of each client's individual needs and risk profile, and then review and recommend appropriate investments.  We guide our clients through the negotiation process with a transformational, value-added, active management strategy.  We offer our clients practical and business-focused solutions. In the current competitive market, we provide our clients legal representation and counsel on all aspects of the business including:


  • leveraged buyout funds
  • distressed investment funds
  • funds of funds
  • venture capital funds
  • private label funds
  • real estate opportunity funds.
  • fund management
  • co-investment arrangements
  • investor relations

Among our range of services, are counseling for sponsors and investors in choosing an entity and jurisdiction; preparing organizational and offering documents; regulatory compliance and carried interest and other compensation arrangements.


 
International Transactions

At Boddie & Associates, our goal is to optimize our clients’ ability to engage in the most cost-efficient and timely exchange of goods and services across borders.  We counsel domestic companies looking to expand and manage their business around the globe.  We are experienced in helping clients deal successfully with international trade regulations and policy issues. We deal with regulations and communications with several government departments and agencies including the Office of the U.S. Trade Representative, the International Trade Commission, the Departments of State, Treasury, Commerce and Justice, as well as U.S. Customs and Border Protection.

Our international services include the following:

  • Corporate transactions
  • Public and private equity and debt financings
  • Joint ventures
  • Mergers and acquisitions
  • Management
  • Venture capital financing
  • General corporate and securities compliance
  • Intellectual property litigation
  • Trademark services
  • Entertainment