Securities and Finance Practice

Our securities experience includes:

  • Preparation, filing and completion of stock, bond, warrants and rights offerings through filing registration statements with the Securities and Exchange Commission;
  • Taking your company public by filing Form 10 registration statements;
  • Structuring equity lines of credit and convertible preferred stock or convertible debt offerings;
  • Compliance with state "Blue Sky" laws;
  • Preparation, filing and completion of securities offerings through the preparation of private placement memoranda complying with state and federal securities laws;
  • Regulatory compliance with federal securities requirements for annual reports, quarterly reports and other filing requirements;
  • Bridge financings, under either equity or debt structures;
  • Representation before the SEC and other self-governing bodies, such as the NASD, NYSE and AMEX;
  • Review and advice relating to structuring transactions to come within specific securities law exemptions to limit costs of regulatory compliance and make otherwise uneconomic transactions profitable;
  • International financing structures, including Regulation S offerings;
  • Alternative "going public" transactions such as shell mergers and spin-offs;
  • Sophisticated financing structures such as rights offerings, bond offerings with "equity kickers", preferred stocks, stock splits and reverse stock splits.

 

In addition to our securities practice, our attorneys have also undertaken other financing activities, including negotiating and obtaining bank financing, working with equipment leases and other leasehold interests, obtaining venture capital financing and accessing capital available privately in connection with start-up and joint venture arrangements.