The Securities Group of Shulman Rogers is a full-service support group for business clients, investors and investment professionals. The attorneys comprising the Securities Group have a broad range of experience representing clients in capital-raising transactions, mergers and acquisitions, securities regulatory compliance and securities litigation matters.
Members of the Securities Group have represented both new and established companies 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. The Firm’s clients include biotechnology, information technology, publishing, health care, food service, entertainment, telecommunications, financial services, manufacturing, retail and real estate development firms, and the Securities Group has provided counseling to clients ranging from start-up entrepreneurial ventures to multi-million dollar public companies.
With respect to publicly-held companies, the Securities Group’s 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, members of the Securities Group are 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 also 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, and the Securities Group members have provided assistance to public companies with respect to these issues and have helped private companies structure equity-based compensation and incentive plans.
Members of the Securities Group also counsel 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 who 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
“Sophisticated … practical … effective.”
