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Securities Offerings and Compliance

We represent public and private companies, including financial institutions and their holding companies. We assist these clients in their capital raising efforts with respect to their:

  • Preparation of Registration Statements, Prospectuses, and Private Placement Memoranda;
  • Initial public offerings;
  • “Going private” transactions;
  • Negotiation of securities purchase agreements and registration rights agreements;
  • Structuring of equity, debt, and hybrid securities;
  • Selection of underwriters and placement agents;
  • Negotiation of underwriting and placement agency agreements; and
  • Compliance with federal and state (“Blue Sky”) laws and securities exchange and market requirements.

We provide guidance and assistance to our public reporting company clients with respect to the reporting and compliance requirements of the Securities and Exchange Commission, Federal Deposit Insurance Corporation, and securities markets and exchanges, such as:

  • Annual, quarterly, and current reports on Form 10-K, Form 10-Q, and Form 8-K;
  • Ownership-related filings on Form 3, Form 4, Form 5, Schedule 13D, and Schedule 13G;
  • Proxy statements on Schedule 14A; and
  • Corporate governance matters.

We represent broker-dealers in connection with their acting as underwriters or sales agents in public or private offerings.