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Securities

We represent issuers, institutional and other investors in offerings and sales of securities, equity and debt, including registered initial and secondary public offerings, private placements, Rule 144 and Rule 144A transactions, and other securities transactions under the Securities Act of 1933 and Securities Exchange Act of 1934.

Our experience also includes securities transactions by hedge funds, venture capital funds, private equity funds and Business Development Companies (“BDC’s”). We counsel clients on:

  • SEC registration statements, annual and quarterly reports, Form 8-Ks, proxy statements, insider filings
  • State and federal securities law compliance
  • Regulatory and reporting requirements under state and federal securities laws
  • NASDAQ and exchange listings
  • Proposed SEC rulemaking affecting securities, including under Dodd-Frank and the JOBS Act
  • Proxy contests and activist campaigns
  • Corporate governance and disclosure matters for public companies
  • Advising clients on alternative public offerings
  • Advising board members of public and private companies on securities law regulations and issues
  • Work on convertible and hybrid securities offering (public and private)