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Practice Overview

Securities Law & Capital Markets

Our Corporate/Securities Law practice provides a wide range of services, with particular emphasis on transactional capital markets work. A major component of our work consists of representing issuers, underwriters and investors in SEC-registered public offerings and private placements of equity and debt securities, coordinated by our securities law and capital markets group.

For over 50 years, the Firm’s securities law and capital markets attorneys have served the needs of private and publicly held companies, from entrepreneur-led startups to large, multinational corporations. For these clients, we regularly handle initial public offerings (IPOs), secondary and follow-on offerings, registered direct and at-the-market offerings, Regulation A+ and crowdfunding offerings, subscription rights offerings, stock buybacks and tender offers, SPAC offerings, Rule 144A note offerings, PIPEs, traditional and publicly solicited private placements, and venture capital transactions.

As primary legal counsel to many public companies, our securities law and capital markets attorneys also provide management and boards of directors with day-to-day SEC compliance advice, preparation of SEC periodic reports, proxy statements and other filings, and corporate governance guidance under SEC and stock market rules and regulations.

Many of our securities law and capital markets attorneys possess specialized knowledge and experience in select industry sectors, allowing them to better address the needs of certain clients. These specialty areas include technology, biotechnology, financial services, online and in-store retailing, hospitality and alternative energy.

The transactions handled by our securities law and capital markets attorneys often involve not only complex securities and corporate finance issues but also matters involving insider trading compliance, stock trading plans, executive and equity compensation, protection of intellectual property, strategic and tactical acquisitions and divestitures, shareholder activism and proxy contests, corporate restructurings and SEC enforcement and securities litigation, frequently in collaboration with the lawyers from several of the Firm’s other practice groups.

The Firm’s Securities Law Blog, maintained by members of our securities law and capital markets group, provides commentary and news on the latest securities law developments impacting established and emerging growth publicly traded issuers and investment banks, as well as entrepreneurs and venture-backed private entities.

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