Our Capital Markets and Securities team has a long-standing reputation as a sophisticated and well-respected adviser on securities compliance matters and complex capital-raising transactions.

Today’s competitive global economy has changed the game when it comes to raising capital, and the ever-evolving regulatory landscape can be confusing and overwhelming for companies and investors alike. We work with companies, investors and lenders to create innovative financing tools tailored to their specific needs while, at the same time, complying with dynamic regulatory requirements.

We take a holistic and full-service approach to our representation. We help clients find the appropriate sources of capital, structure the transaction in a way that meets the clients’ needs and satisfies regulatory requirements, negotiate terms of the deal and close the transaction. After the transaction has closed, we advise clients on continuing obligations and compliance with transaction terms, as well as in interactions with their investors. We also help public companies ensure ongoing regulatory compliance with securities laws, securities exchange rules and the corporate governance requirements of the U.S. Sarbanes-Oxley Act and Dodd-Frank Act.

Our lawyers provide subject matter knowledge derived from a multi-disciplinary team of lawyers, including corporate finance, tax, intellectual property, regulatory, venture capital, real estate, labor and employee benefits attorneys.

Capital Markets and Securities

Our core services include:

Securities Compliance

Whether a newly public company or a large, well-established Fortune 500 company, our clients rely on our highly developed understanding of securities laws to accomplish their business objectives and stay ahead of complex regulations. In addition to assisting our clients with the preparation of periodic SEC reports, we craft practical solutions to our clients’ most challenging disclosure and compliance issues.

We also counsel clients on strategies for avoiding or, if the need arises, confronting issues raised by the Securities and Exchange Commission and state securities regulators. Clients come to us for benchmarking information and advice on best practices regarding issues such as: the disclosure and regulatory obligations of public companies; corporate governance and fiduciary duty obligations of directors and executive officers; compliance with the rules of securities exchanges; and unique governance matters affecting private companies.

Capital Markets Transactions

We help companies navigate the complex issues involved in capital-raising transactions and have experience handling many different aspects of a wide range of transactions.

On behalf of private companies, we handle private placements, venture capital transactions and initial public offerings. On behalf of our public company clients, we handle the full range of securities transactions, including public and private offerings of equity and debt, structured investments and specialized hybrid securities offerings. We also advise underwriters, initial purchasers and placement agents on public and private offerings.