Regulatory agencies and investors around the world have set the bar high for public companies. Whether navigating complex regulations, structuring or negotiating a deal, or simply conducting day-to-day business, it’s essential to have seasoned counsel to ensure compliance and limit exposure. We assist in all aspects of securities regulation, from ongoing adherence with federal and state securities laws and requirements of the NYSE and other stock exchanges to handling equity and debt offerings and transactional projects across a range of structures involving securities.
Dodd-Frank & Beyond
Our attorneys are experienced in a wide variety of intricate issues associated with public and private offerings of securities, including the many requirements imposed by the Dodd-Frank Act, as well as routine filings and other matters associated with daily operations of large enterprises. We advise public companies on all aspects of compliance with the requirements imposed by the Securities and Exchange Commission, including technical aspects of filings and appropriate dissemination of proxy materials to shareholders. We also counsel directors and management on ownership reporting and trading rules and on incentive compensation plans and transactions.
In addition to counseling clients on initial and follow-on offerings, we represent companies and investment banks in major security-related business combinations, including spinoffs, roll-up transactions, proxy contests, leveraged buyouts, friendly and hostile tender offers, going private transactions, and anti-takeover planning. In litigation brought by shareholders and in other class action securities cases filed against publicly-traded companies, as well as in litigation involving securities claims against privately-owned companies — including shareholder allegations of breach of fiduciary duties and claims surrounding mergers and acquisitions — we provide representation in state and federal court, as well as experience in arbitrations in many states.
David A. Stockton