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Financial And Securities Transactions
A large portion of the transactional work undertaken by us in recent years has involved the public and private capital markets. We have represented both operating companies seeking funds for working capital and other purposes, as well as angel, venture/private equity and strategic investors seeking to purchase equity or debt. In connection with these transactions, we have helped clients comply with state, federal and international securities requirements, including the offer of securities privately under, among other exemptions, Regulations D and S, and the corresponding state “Blue Sky” laws, as well as through registration of securities for public distribution through filings with the U.S. Securities and Exchange Commission and/or other securities agencies. We also assist clients in the public trading of their securities, including working with FINRA, as well as with US or foreign stock markets or exchanges. Finally, we assist publicly-reporting companies with their applicable filings with the US Securities and Exchange Commission, or other applicable regulatory bodies, as required to maintain their public status.