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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.

TALENTED AND EXPERIENCED PRACTITIONERS

Clients depend on the experience 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. The securities lawyers are committed to providing innovative solutions targeted at achieving unique objectives.

Whether facing a difficult public disclosure question or raising capital to fund growth, the securities lawyers are equipped with the real-world business perspective needed for timely, client-specific advice. Representing many public companies listed on the NYSE, NASDAQ, the AMEX and the OTCBB, the Securities team is dedicated to learning a client’s business and industry, and using this knowledge, along with the firm’s decades of practical experience, to benefit public and private companies of all sizes.

The Securities lawyers continuously monitor developments at the Securities and Exchange Commission, the national stock exchanges and state securities commissions to keep clients apprised of the latest requirements and how these implications may affect business. Knowing the outcome of a complex securities transaction may determine the success or failure of an enterprise, the securities lawyers never lose sight of the most important measure of performance – client satisfaction.

PROVEN RECORD OF SUCCESS

We advise clients in all aspects of federal and state securities laws, including:

  • Representing both issuers and underwriters in publicly registered and exempt securities offerings, including IPOs, “reverse” mergers, 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 officers, directors and other affiliates concerning reporting and compliance issues relating to their holdings of and transactions in securities of their own companies.
  • Advising banks and financial holding companies in all aspects of regulatory compliance, including SEC matters.
  • Representing both offerors and offerees in negotiated and hostile tender offers, and 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.
  • Private placements of securities.
  • Representation of institutional and other clients in investment funds transactions.
  • Regularly managing 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 qualification of indentures and indenture trustees under the Trust Indenture Act of 1939.

For more information or questions, please contact one of the following Securities attorneys.