Areas of Practice

Securities

C Guidry Law, PLLC, a securities law firm, can help you raise capital in the exempt markets (Reg A, Reg CF, Reg D) and public markets (IPO).

Three types of offerings exist: registered, exempt, and illegal. I will help you with the first two and let you know how to avoid the third.

If you’d like to just focus on accredited investors (and maybe a few non-accrediteds?), I can help you with your Reg D offering.

Or maybe you’re ready to cast your net more broadly and target retail. I will help you think through whether Regulation A, Regulation Crowdfunding, or even an IPO makes sense.

Perhaps your goals are most easily accomplished with another exemption (like the various intrastate exemptions).

We will find a great fit for your needs.

Emerging Companies

From seed to Series A to IPO, C Guidry Law, PLLC helps founders and emerging companies raise capital and navigate the complexities of securities law.

Does this round need a SAFE or a convertible note? Preferred? How do I keep track of my cap table? Why is this Series A term sheet so complicated? What are the risks of using a finder?

Founders have a lot to consider; I can help.

We will get you incorporated, get your equity issued, get your equity plan and employee pool going (including thinking through the tax implications), and work with you on your seed rounds and beyond.

From seed to Series A, from your first SAFE to your liquidity event, I will help you raise capital within a cost structure that makes sense.

Broker-Dealers

C Guidry Law, PLLC can assist broker-dealers and funding portals with registration and with FINRA and SEC exams.

I help broker-dealers register with the SEC and FINRA and with regular exams. And if you are thinking about how crypto might impact your business, or have a niche issue you think appropriate for no-action relief from SEC staff, I can assist.

Funding Portals: I see you! Let me help you through the registration process, developing a good working relationship with FINRA, and with your innovative ideas on making small business capital raising a less stressful process for your clients.