Our team assists clients with offerings of equity and debt securities, public reporting and compliance with all related SEC regulations as well as the national stock exchange rules. Our roles range from being counsel on all securities and transactional matters for some clients, to working collaboratively with in-house legal departments, to serving as special counsel to boards of directors and board committees.
Among other things, our team has significant experience handling SEC filings, earnings releases and additional investor relations communications for equity offerings, private placements of securities, “angel” financings and other venture capital deals. We also provide strategic direction on the development of corporate policies, board committee charters, governance materials and executive compensation arrangements and disclosures.
Whenever state and federal securities laws are in play, we work closely with clients to develop appropriate compliance solutions, along with effective strategies for responding to SEC inquiries and other enforcement actions.
Service Area Contacts
Kentucky’s Racing Taxes Under Scrutiny
July 2, 2021 | Blogs
In what was a whirlwind of a shorter than normal 2021 regular session, the General Assembly had the ...
SPACS – Is the Party Over?
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Operational Considerations for Implementation of the California Commercial Lender Disclosure Law
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Webinar: Key Banking and Credit Card Processing Issues All Hemp Businesses Must Get Right
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Exploring the Benefits of the Corporate Freeze Transaction
March 24, 2021 | Blogs
Synopsis The distribution of a C corporation’s assets to its shareholders often triggers a hea...
Blockchain and Art Provenance: Five Data Privacy Challenges
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Distributed ledger technologies (DLTs) are becoming more prominent with applications across supply c...