Our Securities practice provides our clients with the necessary advice, strategies and negotiation skills for public and private equity transactions. We represent issuers and purchasers of equity, debt and hybrid securities, lenders, borrowers and shareholder groups. We help clients understand the securities law requirements for financings at both start-up and mature capital stages.

We assist our clients on a regular basis with reporting, disclosure and corporate governance obligations arising under the Securities Exchange Act of 1934, the Sarbanes-Oxley Act, and the rules of the applicable stock exchange, as well as OTC Markets. In addition to periodic reporting obligations, we assist clients in complying with applicable securities regulations, including Regulation FD and Regulation G. We advise public companies and their officers and directors with respect to insider trading issues and reporting obligations, including the preparation of insider trading policies and related Rule 10b5-1 plans, and with respect to the securities issues related to executive compensation and employee benefit plans.

We have represented start-ups, early-stage companies, emerging growth companies and mature companies in structuring, negotiating and closing all forms of financings, ranging from seed and first round venture financings, to later stage investments. We have extensive experience advising public and private companies with respect to a full range of M&A transactions, including acquisitions and divestitures, mergers, recapitalizations, going private transactions, and strategic alliances.

We are well versed in the corporate governance requirements of the NYSE, Nasdaq and many of the most popular states in which most businesses operate. We keep abreast of the latest developments of the SEC’s corporate governance requirements and continuing adoption of regulations under the Sarbanes-Oxley Act of 2002.