Securities and Capital Markets

Our Chambers-ranked securities attorneys also represent boards and special committees in all aspects of shareholder activism and engagement matters. Specifically, our deep bench of lawyers, including former SEC staff, advise boards, special committees, and management teams through all phases of activism including comprehensive activism defense counsel; preparedness and vulnerability assessment; campaign and contest management; negotiation and settlement strategy; governance, disclosure and regulatory support; and litigation-ready activism support.

In connection with public offerings, we assist clients in structuring transactions, preparing disclosure documents, negotiating with or for underwriters, supervising registration with the SEC and preparing applications to national exchanges. We also participate in all aspects of the private placement of securities and represent issuers, private placement agents, equity funds, institutional investors and venture capital firms. We have experience in virtually every type of private financing transaction, including seed financing, angel investments, venture capital financing, later stage equity and mezzanine financing, PIPES and private debt financing.

We also regularly assist publicly held clients with their SEC reporting and disclosure requirements, and other aspects of ongoing compliance with the federal and state securities laws and the rules and regulations of stock exchanges. In conjunction with the attorneys in our Financial and Regulatory Litigation Practice Group, we have handled numerous corporate governance matters and internal and external investigations, including SEC enforcement investigations.

Expanded Capabilities

In addition to the services described above, the practice advises issuers, underwriters, investors, and boards on complex public and private securities matters, including PIPE transactions, Rule 144A and Regulation S offerings, SPAC formations and business combinations, and private investment funds and investment management regulatory compliance. The practice also provides specialized counsel on SEC and FINRA enforcement proceedings, securities litigation and internal investigations, special committee and independent director representations, and municipal securities regulation, as well as integrated support for distressed and restructuring-related capital markets transactions.