Securities Legal Compliance

The Firm primarily assists small businesses, cooperatives, and nonprofits with the legal compliance of raising capital under the following exemptions from registration with the U.S. Securities and Exchange Commission:

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Crowdfunding Portals

Likewise, the firm assists Registered Crowdfunding Portals and those interested in Creating Portals with Securities legal and regulatory compliance, including registration, disclosure requirements, and data privacy.

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Business Formations and Conversions

As part of our securities legal compliance work,  we also assist clients with proper business formations and conversions in order to ensure strategic compliance with securities laws, regulations, and rules. This includes assisting a small business with converting their enterprise into a  cooperative as a strategic way of sharing the costs of raising additional capital. 

Mergers and Acquisitions

We also assist companies of all sizes with the buying, selling,  and combining of businesses through  the sale of assets, stock or membership interests, and subsidiary formation.  This includes, but is not limited to, assisting small businesses with the merger of smaller enterprises in order to form a cooperative so that the enterprises can strategically raise  capital for the growth and sustainability of their business operations. 

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Nonprofit Enterprise

Likewise, the firm helps nonprofits of all sizes become more sustainable through revenue-generating business ventures that better serve grassroots nonprofits and nonprofits led by people of color.


Such nonprofits are often marginalized by Philanthropy and other Traditional nonprofit fundraising models. Thus, Nonprofit enterprise provides a valuable alternative.

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General Counsel

In addition, we serve as chief legal counsel to small and mid-size companies, corporations, and nonprofits where we oversee and identify legal issues  affecting business operations and transactions, as well as  provide advice and consultation to directors regarding business governance and policy.

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Virtual Business Legal Issues

Furthermore, we assists our portals and issuers with data privacy policies, Consumer Legal issues, and  Terms & Conditions as part of their capital raising advertising and general solicitation efforts.

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© 2020 by Elizabeth L. Carter, Esq., LLC

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