Attorneys in the Shulman Rogers Securities Group leverage their broad range of experience representing clients in capital-raising transactions, mergers and acquisitions, securities regulatory compliance and securities litigation matters to provide full-service support for business clients, investors and investment professionals.
The Securities Group provides counsel in a wide variety of securities transactions, including venture capital investments, private placements (including Rule 144A transactions), public offerings of debt and equity securities, going private transactions, public company mergers, tender offers and exchange offers. Our clients range from start-up entrepreneurial ventures to multi-million-dollar public companies and span a wide range of industries, including: biotechnology, information technology, publishing, health care, food service, entertainment, telecommunications, financial services, manufacturing, retail and real estate development firms.
With respect to publicly held companies, our attorneys are experienced in drafting and filing all forms of Registration Statements under the Securities Act of 1933, periodic and current reports and proxy statements under the Securities Exchange Act of 1934. We regularly counsel clients on other aspects of regulatory compliance, including Section 13 and Section 16 reporting obligations, obligations under the Sarbanes-Oxley Act of 2002 and compliance with listing standards of the New York Stock Exchange, American Stock Exchange and The Nasdaq Stock Market. In addition, our team is experienced in drafting requests for SEC no-action relief, confidential treatment requests and other applications for relief from regulatory requirements. Securities Group members also advise private and public companies on state Blue Sky law matters, including state registration requirements, exemptions from registration and broker-dealer regulation.
The Securities Group regularly provides advice and counsel to company management, boards of directors and investors on corporate governance and shareholder relations matters. The securities law aspects of executive compensation programs and employee benefit plans have become increasingly important to the Firm’s clients, our attorneys provide assistance to public companies with respect to these issues and help private companies structure equity-based compensation and incentive plans.
Our team also counsels issuers, underwriters, institutional investors, broker-dealers, investment advisers and other clients in connection with regulatory developments at the SEC that may affect their businesses. In this regard, the Securities Group’s attorneys, some of whom are former attorneys with the SEC, maintain constant current contacts with the SEC staff and regularly advise clients regarding the evolution and impact of proposed and enacted rule changes and legislation at the federal and state levels, as well as regulatory initiatives of the SEC, the stock exchanges and other self-regulatory organizations.
November 5, 2020
Kimberly V. Mann joins Shulman Rogers as a Shareholder in the firm’s Securities and Fund Formation Practices within the Business and Financial Services Department.
February 23, 2010
20th Annual Securities Superconference, Canadian Institute, Toronto
