Securities and Corporate Governance is a broad term that describes a wide array of regulatory complexities that issuers and investors maneuver in the course of capital-raising activities, including reporting and disclosure obligations.

We offer a broad spectrum of all-encompassing corporate and securities services to a variety of business entities, ranging from entrepreneurs seeking counsel on business formation and capital raising transactions, to private equity firms requiring assistance with portfolio companies, to publicly-traded companies seeking representation in public offerings of debt and equity securities and general advice on regulatory and compliance matters. Our attorneys provide counsel to senior management, boards of directors, and the committees of public and privately-held companies in connection with corporate governance matters.

We work closely with in-house counsel, boards of directors, and senior management to provide sophisticated and timely counsel that leads to informed decision making and compliance with federal and state laws. Working side-by-side with you allows us to provide creative and comprehensive advice tailored specifically to your needs in an efficient and effective manner.

Our strength is in the depth and breadth of our attorneys’ knowledge and expertise. Our cross-disciplinary team collaborates to provide creative solutions and substantial value in positioning you and your business for growth and success in a constantly evolving, complex legal environment.

Service Index

• Private placements of debt and equity securities
• Venture capital and private equity transactions, including equity offerings and mezzanine financings
• U.S. Securities and Exchange Commission (SEC) registered public offerings of equity and debt securities, corporate combinations, exchange offers, secondary offerings and offerings by selling shareholders
• Preparation, review and filing of all periodic and current reports required by the Securities Exchange Act of 1934
• Review and approval of press releases and earnings releases
• Coordinating the preparation of proxy solicitation materials for shareholder meetings, including proxy statements
• Maintaining compliance with New York Stock Exchange (NYSE) and NASDAQ listing requirements
• Advising on the structure of executive pay and equity compensation plans and programs
• Section 16 reporting and compliance matters
• Counselling boards of directors to help them fulfill their fiduciary duties and responsibilities in connection with a wide range of transactions
• Preparing policies, governance guidelines, codes of ethics, and other internal compliance policies and programs