Securities Law
Sophisticated corporate finance transactions, whether pre-IPO financing or public offerings, private placements, mergers and acquisitions, or other less common forms of transactions, are complex and fast-paced. Whether you are investing in a start-up venture, launching an IPO, buying or selling a company or tackling a difficult regulatory issue, you need the expertise the attorneys at Burns, Figa & Will, P.C., can provide.
We assist clients in complying with federal and state securities laws with respect to proposed transactions. We advise our private and public company clients regarding their compliance with applicable law in their capital-raising transactions. If private clients make the transition to public ownership, we counsel them through public offerings of equity and debt. We assist clients in preparing and filing proxy statements with the SEC, as well as annual, quarterly and other reports routinely filed with the SEC. We also assist clients in establishing their corporate governance regimen, meeting the requirements of today's public markets and the stock exchanges.
We represent a wide variety of securities industry clients, including New York Stock Exchange member firms, FINRA member firms, state and federal registered investment advisors.
Our practice areas relating to securities industry compliance and corporate finance include:
- Corporate Governance
- FINRA Compliance
- DTC Eligibility
- Cross-Border Securities Compliance for Canadian Issuers
- Financing – Debt and Equity
- Dissolution and Foreclosure
- Employment and Termination Issues
- Investment Company Registration and Regulation
- Mergers and Acquisitions
- Noncompetition Agreements
- Policies and Procedures
- Private Placements
- Public Offerings
- Purchase and/or Sale Agreements
- State and Federal Registered Investment Advisors
Our practice areas relating to securities law enforcement matters include:
- Arbitration
- Broker-Dealer and Agent Registration and Licensing
- Class Action and Major Liability Defense
- Litigation
- Mediation
- State, Federal, and SRO Regulatory Defense
Attorneys Practicing in this Area
Victoria B. Bantz
Colleen Belak
Herrick Lidstone
Theresa Mehringer
Sarah Steinbeck
Andrea Welter
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