Securities & Corporate Finance

In an environment of increased public and regulatory scrutiny, the securities and corporate finance attorneys of Much Shelist have the knowledge and experience necessary to help clients make sound financial and business choices.

We are knowledgeable about current issues in the securities arena, such as executive compensation concerns, the timing of stock option grants, shareholder access proposals, majority voting in director elections and similar corporate governance matters. We have experience preparing the Compensation Disclosure and Analysis reports now required for proxy statements, together with the other new executive compensation tables and disclosure. We are also mindful of the unique difficulties these issues pose for smaller publicly traded companies.

We regularly represent clients in a wide variety of matters, including private placements, public offerings and periodic filings with the Securities and Exchange Commission (SEC), proxy statements, as well as related disclosure issues. Our attorneys have considerable experience with federal and state securities laws affecting private and public companies, as well as with securities and corporate matters involving highly regulated entities such as brokers, dealers, banks, thrift institutions, insurance companies, investment companies and investment advisors.

Our services include assistance in the preparation of registration statements, private placement memoranda, and other financing and offering documents, as well as underwriter representation. We represent issuers and investors in public and private sales of securities to raise capital, including primary and secondary public offerings, private placement venture capital, other private equity transactions, and sales of debt and convertible securities. We help clients comply with insider trading rules and regulations, advise them with respect to the rules and regulations of the various securities exchanges, the SEC and FINRA, and provide guidance with respect to all aspects of  Dodd Frank, the JOBS Act and the Sarbanes-Oxley Act of 2002.