Whether a company is seeking to access public securities markets in an initial public offering or to sell securities in a private placement, the Farrell Fritz team of experienced lawyers can assist with the structuring, strategy, and implementation of these transactions.
We advise clients regarding all types of equity and debt securities offerings, including underwritten public offerings, private placements, private investments in public equity (PIPES), reverse mergers, rights offerings, exchange offerings and shelf offerings.
Our commercial finance attorneys also represent individual and institutional investors in the formation of investment funds, investment in portfolio companies, and implementation of exit strategies.
Our attorneys are experienced in representing a variety of global, national and regional companies in a myriad of industries and:
- Advise clients regarding their reporting and compliance obligations under federal and state securities laws, stock exchange regulations and related matters.
- Assist clients in preparing, drafting and filing annual, quarterly and current reports on Forms 10-K, 10-Q and 8-K, proxy statements, stock incentive and other compensation plans and prospectuses, and various other SEC and regulatory filings.
- Counsel clients regarding the establishment of Regulation FD, insider trading and various other policies, takeover preparedness, proxy contests, and general securities and corporate law matters.