Securities

Our lawyers have extensive knowledge and experience to provide the high-quality level of representation demanded by public companies and other market participants. The firm routinely advises clients on securities matters specific to public companies and assists with:

  • Preparing and filing registration statements
  • Proxy statements
  • Annual, quarterly, and current reports and other SEC filings
  • Private placement memoranda and related private offering materials.
Public Offerings

Experience with public companies and companies seeking to access public markets in initial public offerings (IPOs) and/or the increasingly more common structures, alternative public offerings (APOs), direct public offerings (DPOs), special purpose acquisition companies (SPACs), as well as debt or hybrid securities secondary offerings of equity.

Private Offerings/PIPES

Experience with active issuers of securities in private transactions, which include Regulation D, Regulation S, Rule 144A, and PIPE transactions. We also represent issuers, investment banks, placement agents, and investors in private (exempt) transactions.

REITs and Real Estate Securities

Experience with real estate securities, real estate investment trusts, and real estate-based securities.

Corporate Compliance, Regulatory Matters, and Governance

Our lawyers have experience in the preparation of periodic SEC reports, filings and advice in connection with insider transactions (including Section 16 and Section 10(b) and Rule 10b-5), Regulation FD disclosure obligations, option and other equity-based compensation plans, spin-offs, going private transactions, tender offers, proxy contests, corporate restructurings, change in control and other transactional (M&A) events, and assisting Audit, Compensation, and Nomination Committees in complying with the requirements of the SEC and national securities exchanges.

Financial Services, Asset Management, and Regulatory

We have deep technical experience in financial markets and international securities regulation. We have a broad understanding of financial products and instruments, the specific rules and agencies that govern them, and the changing regulatory landscape. We have represented a number of investment firms, banks, insurance companies, hedge funds, private equity firms (public and private), venture capital firms, funds, managers, investors, brokers, and other market participants.

Our lawyers have experience representing asset management organizations that invest and reinvest in securities, including Mutual Funds, Closed-End Funds, Exchange Traded Funds (ETFs), Business Development Companies (BDCs), and other entities that are registered under the Investment Company Act of 1940 (Investment Company Act) and the Securities Exchange Act of 1934 (Exchange Act) and with securities registered under the Securities Act of 1933 (Securities Act) regarding the full range of their activities.

 

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