At Wallace Law, we provide comprehensive legal counsel to startups, private companies, and emerging growth businesses in Dallas and across Texas on matters involving corporate securities, venture capital, and regulatory compliance. Whether you’re raising your first round of funding or managing an investor-backed company, our Dallas corporate securities attorneys deliver the strategic insight and legal precision you need to grow securely and in full compliance with state and federal laws.
What Is Corporate Securities Law?
Corporate securities law governs how businesses issue ownership interests (such as stock or membership units), raise capital, and interact with investors. Compliance with the U.S. Securities and Exchange Commission (SEC), Texas State Securities Board regulations, and investor protection laws is critical when seeking outside funding.
Improper handling of securities offerings can result in regulatory penalties, civil lawsuits, or the forced unwinding of deals. At Wallace Law, we ensure your capital-raising strategy is legally sound, structured to your business goals, and defensible under scrutiny.
Our Corporate Securities Legal Services in Dallas Include:
1. Securities Offering Compliance:
- Structuring offerings under Regulation D, Rule 504, Rule 506(b) & Rule 506(c)
- Private placements to accredited and institutional investors
- State Blue Sky law filings in Texas and other jurisdictions
- Federal and state securities exemption analysis
2. Venture Capital & Early-Stage Funding:
- Term sheet negotiation and structuring
- Preferred stock and convertible note financings
- SAFE agreements (Simple Agreements for Future Equity)
- Series Seed and Series A financings
- Cap table design and investor rights structuring
3. Public & Private Company Compliance:
- SEC reporting and disclosure obligations
- 10-K, 10-Q, and 8-K filings for public companies
- Insider trading policies and corporate governance compliance
- Board and shareholder meeting requirements
4. Equity Compensation & Employee Incentives:
- Stock option plans (ISOs and NSOs)
- Restricted stock agreements (RSAs)
- Phantom stock and profit interest plans
- 409A valuation compliance
5. Shareholder Agreements & Dispute Planning:
- Buy-sell agreements
- Drag-along and tag-along rights
- Rights of first refusal and co-sale provisions
- Dispute resolution provisions to avoid litigation
Who We Represent:
- Startups and pre-revenue ventures
- Growth-stage tech and service companies
- Angel investors and venture capital firms
- Founders, co-founders, and startup employees
- Private equity funds and family offices
Whether you’re a Dallas startup preparing for seed funding or a mature company issuing equity to new investors, Wallace Law brings unmatched attention to detail, business-savvy counsel, and deep knowledge of securities law and venture capital deal mechanics.
Why Choose Wallace Law for Corporate Securities Law in Dallas?
- Texas-Focused, Nationally Informed: We’re deeply familiar with Texas state securities law and how it intersects with federal rules.
- Startup to Scale-Up Expertise: Our clients include startups, growth-stage companies, and investment groups.
- Strategic Structuring: We go beyond paperwork—our lawyers advise on long-term governance and investor relationship strategies.
- Fixed-Fee Packages Available: Know your legal costs up front with flat-fee securities offerings and funding packages.
Serving Dallas and the Entire DFW Metroplex
From Uptown to Irving, Plano to the Park Cities, Wallace Law supports entrepreneurs and businesses throughout North Texas with responsive, knowledgeable legal counsel in corporate securities and venture funding.
Schedule a Consultation
If your Dallas business is seeking outside investment, launching a securities offering, or facing regulatory issues, don’t take unnecessary risks. Let Wallace Law guide you through the process with confidence.
Contact us today to schedule your consultation.