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Drawing on significant experience in the world of corporate law, Bettina combines versatility and pragmatism to achieve optimal results for her clients. She focuses her practice on blue sky compliance, while also working closely with clients on any offer and sale of securities, including initial fund launches, start-up financings, PIPES, and OTC offerings.
Bettina has extensive experience advising on all aspects of blue sky compliance, including: the application for and generation of SEC Edgar codes, reviewing offering materials to ensure proper federal and state securities law disclosures, the preparation and filing of the Form D with the SEC, state securities law (blue sky) analysis, the preparation of a state blue sky tracking chart (detailing the exemptions relied upon and filings), and the preparation and filing of required state blue sky notice filings.
Bettina holds monthly conversations with her clients relating to any additional closings (new investors and additional subscriptions for existing investors) to proactively audit and comply with applicable federal and state securities laws.
Bettina also negotiates non-disclosure agreements, advises clients on corporate contracts, securities offerings, public and private securities transactions, and regulatory compliance including Section 16 compliance matters and filings on Form 13F, Form 13H, Schedule 13D, and Schedule 13G.