The firm has considerable experience in all aspects of federal and state securities law. We represent issuers, venture capitalists and investors in public and private debt and equity financings and deal with complex issues arising under federal and state securities laws in connection with such registered or exempt offerings.
We are active in the preparation of offering documents and ensuring compliance with SEC and state blue sky regulations. We also participate in the preparation of annual, quarterly and current reports and proxy statements filed with the Securities and Exchange Commission (SEC) as well as other filings and reports under Section 16 (Forms 3, 4 and 5) and the Williams Act (Schedules 13D, 13G etc.).
The firm has experience representing companies in connection with SEC investigations and inquiries and in establishing insider trading guidelines and related procedures for public company clients. The firm also represents clients in connection with initial and continued listing on the various stock exchanges and NASDAQ and provides counseling in various related proceedings.
We have represented investment banking firms in their role as either underwriters or placement agents for various securities offerings. Firm attorneys are experienced in rendering legal services to clients in connection with both the registration of entities as broker-dealers and their ongoing compliance requirements, as well as guiding numerous clients through the process of establishing and maintaining investment partnerships.
The firm also has experience advising clients on the requirements of the Investment Company Act of 1940, the Trust Indenture Act of 1939, and the Investment Advisers Act of 1940 and in serving as trustee's counsel. In short, we have a strong ability to assist companies that are seeking to raise capital in both the private and public markets in order to help our clients develop new opportunities.