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Registered Funds

We represent numerous listed and non-listed offerings conducted by closed-end funds, both as issuer’s counsel and as counsel to the underwriters.

On the transactional side, our attorneys assist registered fund clients in raising capital in the private and public markets through the drafting of registration statements or offering memoranda, negotiating investment advisory and distribution agreements, drafting exemptive and no-action relief requests, preparing or reviewing compliance materials, SEC and FINRA compliance, and other matters required by the federal securities laws. 

We also assist our registered funds in the preparation and review of periodic reports, proxy statements and other reports filed pursuant to the Securities Exchange Act of 1934. 

On the governance side, our attorneys counsel board members and executive teams, prepare and review board materials, assist in drafting communications to shareholders, and provide practical advice relating to various corporate governance matters.

Ways We Can Help

  • Raising capital
  • Registration statements
  • Governance compliance materials
  • Periodic reports