Overview

Kristi Nickles has a high level of compliance experience with federal and state “blue sky” laws (Regulation D and NSMIA) for  both private and public offerings. 

Her specialties also include Section 16 (Forms 3, 4 and 5) and beneficial ownership tracking.  She also works with creating and maintaining stock, option and warrant registers, and enjoys the challenges of difficult reconciliation matters.

She primarily assists attorneys and clients in the area of securities law and compliance for both public and private companies. Her primary securities law responsibilities include assistance with the preparation and filing of SEC documents, federal and state securities law compliance, and Section 16 reporting. She enjoys working both directly with clients and in a team atmosphere to achieve an efficient resolution to the project.

Services

Civic & Professional

Professional Activities

  • Minnesota Paralegal Association
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