The firm assists publicly held clients prepare periodic securities filings under the Securities Act of 1934, establish compliance programs to address insider trading and related issues, write and distribute press releases and deal with securities analysts and the financial media, and implement anti-takeover devices and other defensive measures. We counsel officers, directors and shareholders of public companies regarding their compliance with securities law requirements, including transfer restrictions and reporting obligations.
In regard to public securities offerings, we provide guidance on initial public offerings (with respect to both primary and secondary sales), follow-on offerings, debt offerings, rights offerings and tender offers, exchange offers and other offers in connection with mergers and acquisition transactions. Our lawyers proactively strategize with clients on how best to achieve their objectives via the public markets.
The firm also assists companies undertaking an initial public offering in all aspects of the process, including meeting exchange or NASDAQ listing requirements, understanding and implementing corporate governance “best practices,” establishing procedures for ongoing disclosure and reporting compliance and structuring employee and executive compensation plans.