Securities Offerings & Regulation

The firm’s attorneys possess in-depth knowledge and years of experience in:

• Private Offerings
  • Issuer’s counsel in offerings exempt from SEC and state registration
  • Representing start-up companies raising equity capital
  • Working relationships with New England Blue Sky administrators
• Public Offerings
  • Issuer’s counsel in public offerings registered with the SEC, including initial public offerings, secondary offerings, shelf registrations, mergers and acquisitions, and employee equity plans
• Securities Exchange Act Services
  • Preparation and review of proxy statements and Exchange Act reports for clients whose securities are registered under the Securities Exchange Act of 1934 and stock exchange and self-regulatory organization rules
  • Counseling officers, directors, and controlling shareholders with respect to their securities transaction reporting responsibilities and trading restrictions
• Registered Investment Advisor Broker/Dealer and Associated Person Representation
  • Federal, state, and regulatory organization registration of firms and their agents
• Securities Litigation
  • Representation of national securities brokerage firms, registered representatives, registered investment advisors, and individuals in state and federal courts and administrative proceedings and in arbitration before the Financial Industry Regulatory Authority (FINRA) and the American Arbitration Association