Our securities team advises public and private companies on corporate, commercial securities, financial and regulatory issues. From emerging companies to handling equity financing, debt management and public offerings for well-established corporations, our clients cross all stages of business.
Our areas of focus include:
- Initial and secondary public offerings
- Corporate governance
- SEC and other government compliance
- Executive and director compensation
- Beneficial ownership reporting
- Commercial contracting and outsourcing
- Exempt/private offerings
- Committees and internal investigations
- Venture capital and emerging companies
We assist clients with periodic and annual reports filed with the SEC and proxy solicitation materials – required both on a recurring basis and for financings, mergers and acquisitions, and other significant events.
Our team advises directors, executive officers and shareholders on beneficial ownership reporting requirements and insider trading issues, including preparation and filing of Section 16 reports (Forms 3, 4 and 5) for directors and executive officers and Schedules 13G and 13D for significant beneficial owners.
We represent issuers and selling shareholders in sales of restricted securities and Rule 144 compliance. We also develop and review 10b5-1 trading plans and securities trading policies for directors, executive officers and other personnel.
Efficient and timely legal counsel is critical for securities transactions. We provide practical, strategic advice in real time to proactively spot pitfalls and identify opportunities.
Securities Quarterly Update - January 2021
January 12, 2021
Securities Quarterly Update - October 2020
October 08, 2020
SEC Rules Seek to Force OTC Companies to Provide Greater Disclosure - Securities Update
September 18, 2020
Securities Quarterly Update - July 2020
July 07, 2020
Mistakes, Inconsistencies and Outdated Data - Correcting Public Information About Your Company - Securities Update
June 09, 2020
Securities Quarterly Update - Spring 2020
April 13, 2020
ISS Issues New Voting Policy Guidance in Light of COVID-19 Pandemic - COVID-19 Update
April 13, 2020
Shareholder Activist Filings in Light of the COVID-19 Pandemic - COVID-19 Update
April 07, 2020
Annual Shareholder Meetings in the Time of COVID-19 - COVID-19 Update
April 07, 2020
SEC Order Extends Reporting and Delivery Exemptions for Certain Public Companies - COVID-19 Update
March 26, 2020
SEC Issues Annual Meeting Guidance Amid COVID-19 Concerns - COVID-19 Update
March 17, 2020
Securities Quarterly - Winter 2020
January 13, 2020
Securities Quarterly - Fall 2019
October 09, 2019