Securities

Perhaps no other area of the law holds a greater potential for substantial risks and significant rewards as securities law. In today’s dynamic, rapidly evolving corporate legal environment, many companies have recognized the importance of teaming with sophisticated, creative securities counsel to navigate increasingly complex regulations and mitigate risks inherent in the new compliance regime.  We do so knowing the outcome of a complex securities transaction may determine the success or failure of an enterprise, and we never lose sight of the most important measure of our performance – client satisfaction.

Securities clients depend on the expertise of the Securities Practice Area to provide efficient service and a cutting-edge approach to solving problems and recognizing opportunities in all aspects of securities law.  We are committed to crafting innovative solutions targeted at achieving the unique objectives of our business partners – our clients.

Whether facing a difficult public disclosure question or raising capital to fund growth, our securities lawyers are equipped with the real world business perspective needed for timely, client-specific advice.  We are dedicated to learning a client’s business and industry and utilizing this knowledge along with our decades of practical experience to benefit companies large and small, public or private.

We continuously monitor developments at the Securities and Exchange Commission, the national stock exchanges and the state securities commissions to keep you apprised of the latest requirements and how these implications may affect business. 

Service Highlights

We provide the full range of Securities legal services, including:

• Representing both issuers and underwriters in publicly registered and exempt securities offerings, including IPOs, exchange offers and going private transactions 

• Advising management, Boards of Directors and Board committees concerning securities and corporate governance issues, including compliance with the requirements of Sarbanes-Oxley 

• Assisting public company clients in complying with the reporting, proxy and other requirements of the Securities Exchange Act of 1934 and advising their officers, directors and other affiliates concerning reporting and compliance issues relating to their holdings of and transactions in securities of their companies

• Representing both offerors and offerees in negotiated and hostile tender offers and representing buyers and sellers in merger and other acquisition transactions

• Advising broker-dealers and investment advisers concerning compliance with SEC, NASD and state regulatory requirements

• Partnering with members of Armstrong Teasdale’s Litigation Department to assist clients in securities litigation, arbitrations, investigations and compliance proceedings of the SEC, state securities regulators, Nasdaq and the stock exchanges. 

• Regularly manage other securities projects including:

  • Exchange offers

  • Financial restructurings, rights offerings, matters arising under the Investment Company Act of 1940

  • Enforcement proceedings

  • Requests for no-action letters

  • Matters involving particular types of securities such as bank or insurance company securities and qualification of indentures and indenture trustees under the Trust Indenture Act of 1939

Related Practice Areas

• Governance and Compliance

• Mergers and Acquisitions

• Criminal Defense and Compliance

Members of the Securities Practice Area

Braswell, David	Morrison, Matthew
Colson, Kirby	Newbold, Jill
Foristal, Steve	Pozaric, Steven
Gillis, John	Varsam, Nick
Maccoby, Max	von Kaenel, Joe

External Securities Links

www.sec.gov - U.S. Securities and Exchange Commission
www.nyse.com - New York Stock Exchange
www.amex.com - American Stock Exchange
www.nasd.com - Private-sector provider of financial regulatory services
www.otcbb.com - OTC Bulletin Board
http://finance.yahoo.com - Yahoo's Finance Page