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Clark Hill’s Corporate attorneys represent organizations of all sizes through complex securities matters involving compliance and regulatory concerns. We find solutions in matters that include initial public offering, private placements, Securities and Exchange Commission reporting, enforcement actions, mergers and acquisitions, fund formation, and regulation of broker-dealers and investment advisers.

As outside general counsel and special securities counsel to U.S. and international public and private companies, our attorneys regularly advise boards and their committees regarding fiduciary duties and other corporate governance matters.

While serving as special disclosure counsel to issuers, underwriters, trustees, borrowers, lenders, and institutional investors, we assist with a variety of securities law matters in public finance transactions throughout the United States.

Clients also benefit from other practice areas in our firm that complement our Securities practice. We guide companies through matters involving 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 knowledge to assist clients in maximizing their financial opportunities while developing compliance strategies that minimize the risk of any securities compliance issues.

Our experience includes:

  • Representing public and private companies in debt and equity financings in excess of an aggregate of $1 billion.
  • 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.
  • 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.
  • Preparing public and private offering disclosure documents and materials.
  • Preparing underwriting and placement agreements for public and private offerings.
  • Forming private investment funds and publicly registered mutual funds.
  • Structuring preferred stock and debt securities.
  • Counseling employee benefit plans and their advisors on the securities laws applicable to such plans.
  • Prosecuting fraud, conversion, and corporate dissolution matters.
  • Negotiating and structuring lease and joint venture agreements.