Corporate and Securities Transactions
Serving both the public and private sectors, the firm represents and advises clients in a variety of matters associated with commercial transactions, as well as corporate and municipal financings. Our attorneys have assisted clients with the negotiation of complex credit facilities and commercial and technology agreements; public and private offerings of securities; acquisitions and dispositions of assets; venture capital transactions; stock exchange and NASDAQ listing requirements; corporate governance documents; assisting in disclosure obligations with the Securities and Exchange Commission, and more.
- Annual, Quarterly, and Other Periodic Reporting (10-K, 10-Q, 8-K, etc.)
- "Blue Sky" Compliance
- Broker-Dealer Registration, Regulation, Compliance, Disciplinary, and Arbitration Matters
- Corporate and Municipal Financing
- Directors' and Officers' Responsibilities and Liabilities
- Fraud Litigation
- Insider Trading Matters
- Investment Companies and Advisers
- Master Limited Partnerships
- Mutual Funds
- NASD, Stock Exchange and SIPC Matters
- Private Placements
- Proxy Matters
- Public Securities Offerings
- Real Estate Investment Trusts
- Real Estate Syndications
- Reg D and Other Exempt Offerings
- Rule 144 Sales
- Securities and Exchange Commission Compliance Matters
- Securities and Exchange Commission Investigations
- Stockholder Proposals
- Tender Offers
- Underwriter Representation
- Venture Capital Financing
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