Securities

Raising capital requires more than choosing the right source of funding. The structure of an offering can affect ownership and future flexibility, while securities laws create obligations that may continue long after the transaction closes. We help clients understand those requirements and build them into the financing strategy from the outset.

We advise public and private companies on registered offerings and private placements. Our attorneys prepare offering materials and handle the required securities filings. We also counsel issuers on disclosure obligations and other responsibilities that arise after capital has been raised.

Our work also includes the formation and ongoing regulation of investment businesses. We counsel broker-dealers and registered investment advisers, as well as investment companies. When registration or an exemption is required, we help clients determine the appropriate path and respond to continuing

When regulators begin an inquiry, we represent issuers and their leadership in investigations involving the SEC or FINRA. We also handle matters before state securities regulators. Our role is to help clients respond carefully while protecting their legal and business interests.

Securities matters often overlap with corporate governance or a broader financing transaction. Public finance questions may also shape the work. We coordinate those perspectives so the securities advice remains connected to the client’s larger objective.