The Securities Group provides strategic advice to our clients on all aspects of federal and state securities law and regulation.
Our clients include public and private corporations, partnerships, limited liability companies and other business entities, financial institutions, mutual funds, investment advisers and broker-dealers, as well as executives and entrepreneurs.
We have experience in handling a broad range of securities matters including:
- Public, private and 144A offerings of equity, debt and other securities, including private investments in public entities (PIPEs)
- Public and private mergers, tender offers, and other change of control and acquisition transactions
- Recapitalizations, reclassifications, reorganizations, spin-offs, split-offs, rights offerings and similar transactions
- Going private transactions
- Cross-border transactions, including acquisition transactions that are exempt under U.S. securities laws and off-shore Regulations S placements
- Proxy contests and activist and dissident shareholder campaigns
- Equity compensation matters
- Public company compliance under the Securities Exchange Act of 1934 and applicable stock exchange and other SRO rules (including periodic and current reporting, proxy and information statements, Section 16 compliance and Section 13 beneficial ownership reporting)
- Public and private investment company registration (or exemption) and compliance under the Investment Company Act of 1940
- Municipal finance transactions
- Broker-dealer and investment adviser registration and compliance
We routinely counsel clients and their Boards of Directors with respect to evolving Corporate Governance best practices and other requirements under SEC, NYSE and Nasdaq rules. The Firm is a Designated Advisor for Disclosure (DAD) with the OTCQX U.S. and International markets.more 