Securities

Lane & Waterman offers a broad base of knowledge and experience in the complex area of securities law, regulation and compliance.  Our attorneys regularly represent issuers and purchasers of securities in capital formation transactions.  We provide counsel on private placements, including Regulation D, intrastate and other exempt offerings, as well as initial and secondary public offerings, including offerings of debt, preferred equity, venture capital, and institutional placements.

For publicly-held companies, Lane & Waterman provides guidance regarding the reporting and compliance requirements of federal securities laws, including the Sarbanes-Oxley Act, and related corporate governance regulations.  We are experienced in the preparation of proxy materials; annual, quarterly and special reports to the Securities and Exchange Commission; and shareholders and insider reports such as Form 4 and Schedule 13D.  As part of our continuing representation of our clients, we regularly advise on the continuously evolving area of regulatory disclosure and compliance and insider trading rules.  In addition, we routinely assist in the review of our public client's public statements.

The firm's senior business partner, Dana Waterman, has been recognized in The Best Lawyers in America in the field of securities law.