The Securities Group provides advice to corporations, limited liability companies and partnerships in the issuance of securities for both public offerings and private placements in a broad range of domestic and international settings.

Public companies are provided advice in their securities reporting requirements, proxy statements and in various areas of disclosure and due diligence relating to the issuance and sale of securities and the public announcement of transactions and operations.

This group has represented clients involved in registration of securities in both federal and state jurisdictions, in securities arbitrations, and in the challenging area of determining and perfecting exemptions from federal and state registration.

The Securities Group also represents the financial services industry to comply with registration and reporting requirements. Broker-dealers, underwriters, investment advisers, investment companies and syndicates of securities are among the clients of the group.
 

A client’s private placement of securities includes issuance of securities to accredited and non-accredited investors, institutional investors, venture capitalists and mutual fund investors. Our guidance to that client would not only include strategic business and legal compliance planning and documentation, but also qualification of investors, government filings and continual monitoring of requirements to maintain exemptions from registration of those securities.

The Securities Group also advises business clients on the interrelationship of employee benefit plans and securities laws, including stock option plans, stock appreciation rights plans and Employee Stock Ownership Plans.