Securities

Lawyers in our securities practice offer 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, we provide 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 and handling a variety of legally-mandated documents:

  • proxy materials
  • annual, quarterly and special reports to the Securities and Exchange Commission
  • 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.