Securities & Corporate Finance

Our securities and corporate finance attorneys have the knowledge and experience necessary to help you complete complex corporate finance transactions, comply with the federal and state securities laws, and make sound financial and business decisions.

Much Shelist has an active securities and corporate finance practice. We regularly represent clients in a wide variety of securities transactions, including private offerings and negotiated private issuances of debt and equity.  We represent both issuers and investors in public and private sales of securities to raise capital, including private placements, angel investments, venture capital and private equity transactions.

We are knowledgeable of current issues in the securities arena, such as executive compensation concerns, timing of stock option grants, shareholder access proposals, majority voting in director elections, and similar corporate governance matters. We are also mindful of the unique difficulties these issues pose for smaller publicly traded companies.

Our attorneys have considerable experience with the federal and state securities laws that affect private and public companies, including periodic filings with the Securities and Exchange Commission (SEC) and proxy statements, as well as with securities and corporate matters involving highly regulated entities such as brokers, dealers, insurance companies, investment companies and investment advisors.

We help clients comply with insider trading rules and regulations, advise them on the rules and regulations of the various securities exchanges, the SEC and FINRA, and provide guidance on the latest developments in securities law, including the Dodd-Frank Act, the JOBS Act, and the Sarbanes-Oxley Act of 2002.