Corporate Finance and Securities
Public and private company counseling for finance, securities and transactions
Capabilities at a glance
- A full spectrum of legal services across all areas of corporate financing and securities transactions.
- Deep institutional knowledge and industry experience. Your matters will have the attention of high-level partners who will provide responsive service at competitive rates.
- A national reputation for excellence and creativity, offering innovative solutions to unique challenges.
- Financial accounting reporting and regulatory knowledge and insights that will help you navigate a complex matrix of securities laws and regulations.
Shared purpose with clients on corporate finance and securities law
Our Corporate Finance and Securities team provides legal counsel to issuers, underwriters, buyers and sellers in the full range of corporate financing transactions, business combinations and regulatory compliance. Our team has a wide range of experience across multiple industries, including industrial and manufacturing, financial services, semiconductor technology, biotechnology, medical devices and information technology. We have the detailed legal, regulatory and industry knowledge and the broad practical experience that clients need to make sound choices.
Practical legal advice across all corporate and securities matters
We counsel clients across a full spectrum of areas that have corporate finance or securities implications, including:
- Corporate governance, including compliance advice under state and federal laws (such as Sarbanes-Oxley) and regulatory (SEC, NYSE, NASDAQ) advice to directors regarding fiduciary duties
- Public offerings of equity, debt and hybrid securities in IPOs, subsequent offerings and offerings under shelf registration statements
- SEC reporting and advice regarding disclosure obligations
- Mergers, acquisitions and divestitures
- Proxy solicitations, including proxy regulation, compliance and proxy contests
- Takeovers, including offense, defense and SEC regulation
- Employee stock plans
- Exempt offerings, including in private placements and Rule 144A offerings
- Insider transactions, including restricted securities, Section 16 reporting and avoidance of short-swing trading, Rule 10b-5 liability
- Broker/dealer and investment advisor representation, including organization, licensing and regulatory compliance
- Mutual fund transactions and activities, including regulatory approvals, blue sky law compliance and fund operation
