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securities

H&A offers legal advice and representation in matters involving SEC, FINRA, CTFC, and OTC Market regulations and compliance. We advise our clients on issues related to disclosure, accounting, and regulatory compliance. We also advise senior management, boards of directors, audit committees, compensation committees, and governance and special committees on a wide range of issues relating to structure and operation, fiduciary duties, and relationships with institutional shareholders. Furthermore, H&A has represented clients before the SEC and the Utah Division of Securities on matters ranging from licensure to corporate compliance. We have also assisted numerous clients with the preparation of private placement memoranda for the raising of venture capital.