Corporate & Securities

Securities laws are complex and require the support of experienced attorneys. Our securities attorneys assist clients in a variety of projects and transactions requiring compliance with applicable Federal and state securities laws.  Our securities law practice includes:

  • Private placements of debt and equity securities for private and public companies, including related disclosure material and subscription documents
  • Seed financings, including offers and sales of securities to “friends & family”, as well as financings with angel and venture capital investors
  • SEC reporting compliance, including preparation of annual reports on Form 10-K, quarterly reports on Form 10-Q, Forms 8-K and other periodic SEC filings, registration statements, proxy statements and other shareholder communications
  • Advising boards of directors, committees and executives regarding  disclosure obligations, Section 16 (or “Insider”) reporting obligations and “short-swing profit” recapture issues, fiduciary duties of directors, compliance with state securities (“Blue Sky”) laws, conducting shareholder meetings and investor relations