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Securities Regulation

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The firm’s Securities law team is dedicated to helping business enterprises of all kinds find and secure the capital that they need to grow and operate.  Our corporate finance and capital markets experience includes a wide variety of financing vehicles, including the following:

  • Initial public offerings
  • Secondary public offerings
  • Debt offerings
  • Medium-term note offerings
  • Rights offerings
  • Asset securitizations
  • 144A offerings
  • Regulation S offerings
  • Private placements
  • Venture capital financing
  • Tender offers
  • A/B exchange offers
  • Issuer tenders and buy-backs
  • Going private transactions
  • Hostile takeovers (offensive and defensive)
  • Securities reporting compliance

By virtue of our considerable experience in a wide range of capital-raising transactions, from early-stage venture financing for start-ups to public offerings and private placements of equity, securities, debt securities and asset-backed securities, we have considerable experience dealing with NASDAQ, NYSE and AMEX listing applications, SEC reporting requirements, proxy solicitations, insider trading policies and other unique needs of public companies.

We have substantial experience with contested transactions, both proxy contests and takeover actions, and have successfully represented both insurgents and target companies in planning, implementing and litigating issues involved in contested elections and shareholder actions.  We have counseled potential targets in defending takeover attempts and represented companies and individuals in attempts to acquire control of companies in which they have an investment through negotiations, tender offers and litigation.  We also have acted on behalf of "white knights" in their transactions with targets involved in a takeover attempt by an unwanted suitor.

We have assisted clients in developing programs which address a wide range of corporate compliance issues and communicate their commitment to conduct business consistent with ethical and legal standards, and to prevent and detect deviations from those standards.  We also have represented clients in situations where there is believed to be a violation of such ethical or legal standards, or where a governmental agency has begun, or is threatening to begin, an investigation.