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Many of Clark Hill’s corporate attorneys have significant experience representing clients in every major area of securities law, including initial public offerings, private placements, Securities and Exchange Commission reporting, and compliance, federal and state enforcement actions, public and private fund formation, and regulation of broker-dealers and investment advisers.

Our experience includes:

  • Preparing public and private offering disclosure documents and materials.
  • Representing issuers and underwriters in all aspects of the SEC registration and private placement offering process.
  • Preparing underwriting and placement agreements for public and private offerings.
  • Structuring preferred stock and debt securities.
  • Forming private investment funds and publicly registered mutual funds.
  • Advising public companies and their officers and directors on federal and state securities reporting obligations, insider trading policies and proxy solicitations, including the filing of all reports required under the Securities Exchange Act of 1934.
  • Forming and registering broker-dealers and investment advisers and providing ongoing compliance advice and representation in investigations and enforcement actions involving the SEC, FINRA, and state securities regulators.
  • Counseling employee benefit plans and their advisors on the securities laws applicable to such plans.
  • Representing issuers and their officers and directors in SEC and state securities commission investigations and enforcement actions.

Our attorneys regularly advise boards and their committees regarding fiduciary duties and other corporate governance matters, including board and committee structure and operations, Sarbanes Oxley and Dodd-Frank compliance, and federal and state securities commission investigations and enforcement actions.

Our securities attorneys also assist our public finance lawyers regarding the securities laws applicable to governmental financing and tax-exempt financing for private entities. Our attorneys have served as special disclosure counsel and counsel to issuers, underwriters, trustees, borrowers, lenders, and institutional investors regarding securities law matters in public finance transactions throughout the United States.

Our securities practice is complemented by our other well-established practice areas, including mergers and acquisitions, private equity, public finance, tax, employee benefits, real estate, environmental, and intellectual property. Our approach to securities law matters draws on this broad base of expertise to assist clients in maximizing their financial opportunities while developing compliance strategies that minimize the risk of any securities compliance issues.