Capital Markets
Our Capital Markets team advises emerging growth companies and other issuers on public and private offerings, stock exchange listings, and capital formation strategies. We also represent underwriters and broker-dealers in regulatory compliance and other capital markets activities.
With deep experience navigating complex regulatory frameworks, our team regularly engages with the SEC, FINRA, U.S. stock exchanges, and other market participants to guide clients through dynamic capital markets environments. We represent emerging growth companies, issuers, underwriters, and placement agents across a wide range of industries.
We have extensive experience advising on initial public offerings and stock exchange listings, working closely with clients in the early stages of the IPO process to address securities regulation, disclosure requirements, and corporate governance considerations. Our attorneys also advise on the formation of Special Purpose Acquisition Companies (SPACs) and guide clients through the full lifecycle of SPAC transactions, from formation through the de-SPAC process.
Our team also advises boards of directors and senior management on pre- and post-IPO corporate governance matters, including board structure, executive and director compensation, shareholder engagement, proxy processes, and anti-takeover strategies. We assist clients in identifying regulatory and structural issues early, enabling them to manage growth, maintain compliance, and operate efficiently as public companies.
Our Experience Includes
Representation of emerging growth companies, underwriters, and placement agents in:
Underwritten public offerings, including IPOs, follow-on offerings, shelf registrations, and shelf takedowns
Registered direct offerings and at-the-market offerings
Private placements of equity and convertible debt securities
Reverse mergers and self-filings combined with financing transactions
Public offerings under SEC Regulation A
Crowdfunded offerings pursuant to Regulation CF
Stock exchange listings for qualified issuers
Negotiated transactions, tender offers, proxy contests, and Hart-Scott-Rodino antitrust filings
Securities Exchange Act of 1934 reporting and regulatory compliance
Sponsorship and advisory services for domestic and international companies seeking OTCQB and OTCQX listings
Our team regularly advises reporting companies on compliance with the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act, the Dodd-Frank Act, and related SEC regulations and exchange listing standards. We assist clients in addressing regulatory matters involving the SEC, FINRA, national stock exchanges, and the OTC Markets Group.
Securities Law & Compliance
Our Securities Law and Compliance team works closely with public and private companies, boards of directors, and board committees to advise on governance, regulatory compliance, and disclosure obligations. This includes guidance on proxy and annual meeting processes, shareholder proposals, risk oversight, board committee structures, and environmental, social, and governance (ESG) reporting.
Our regulatory experience includes advising on:
• Exchange Act registration statements (Forms 10 and 8-A)
• Annual and quarterly reporting (Forms 10-K and 10-Q)
• Current reports (Form 8-K)
• Proxy statements and proxy contests (Schedule 14A)
• Information statements (Schedule 14C)
• Tender offer statements (Schedule TO)
• Beneficial ownership and insider reporting (Forms 3, 4, and 5; Schedules 13D and 13G)
• Insider trading policies and corporate governance frameworks
• Regulatory developments and compliance strategies
Regions:
The Americas – Asia Pacific – EMEA
Industries: Biopharma. Chemicals, Education, Energy, Financial Services, FinTech, Food & Beverage, Industrials, Mining & Metals, Recreation, Retail & Consumer, Technology.
Key Contacts
