We have extensive experience in securities matters. We assist our clients with a broad range of securities-related transactional and compliance matters, including federal and state registered and exempt offerings, disclosure matters, periodic reporting and proxy matters, merger and acquisition and contested transactions, sales of restricted and control securities, insider trading matters, SEC investigations and disciplinary actions, internal investigations, corporate governance and compliance with stock exchange and securities industry regulations.
Our securities clients include a diverse range of companies ranging from publicly traded, Fortune 500 companies to start-up and growth companies seeking venture capital financing. We also provide securities-related counsel to corporate senior management, boards of directors and their audit, compensation, governance and other special committees, individual and institutional shareholders and other capital markets participants.
In our role as securities counsel, we regularly advise on the full spectrum of transactional, disclosure and regulatory concerns facing our clients, including:
- Transactional structuring and securities exemption analysis
- Preparation of registration statements and other offering documents for registered and exempt offerings of equity and debt securities and tender and exchange offers
- Initial listing and continued compliance with stock exchange requirements
- Periodic reporting on Forms 10-K, 10-Q, 11-K, and 8-K, as well as general corporate communications
- Securities-related merger and acquisition transactions
- Equity and debt repurchase programs
- Proxy matters and contested transactions
- Executive compensation
- Corporate governance
- Beneficial ownership reporting and compliance
- Insider trading, Section 16 and Rule 144 compliance
- Disclosure and internal controls and related certification matters
- Sarbanes-Oxley compliance
- Regulatory and internal investigations