Securities

Public and private companies often require expert legal assistance to navigate their way through complex issues and transactions implicating federal and state securities laws, broker-dealer investment adviser, exchange listing and corporate governance requirements.

Dickinson Wright represents numerous issuers, institutional investors, private equity and venture capital funds, underwriters and other deal participants raising capital and borrowing money in public offerings and private placements. We also work with broker dealers, investment advisers, money managers, financial planners and similar regulated persons in fulfilling their regulatory compliance obligations.

The team at Dickinson Wright applies our knowledge of securities laws and financing techniques to provide innovative, cost-effective and timely solutions.

Some of our securities law expertise includes:

• Assisting start-up businesses from the time of initial capitalization through each phase of growth financing including registration statements for IPOs. 

• Preparing and reviewing SEC reports on Forms 10-K, 10-Q, 8-K and proxy statements for shareholder meetings. 

• Counseling corporate clients on insider trading, Section 16 short-swing trading and reports, penny stock regulations, issuer repurchases, self-tender offers, analyst meetings, press releases, Regulation FD, sensitive disclosure matters, shareholder and investor relations matters. 

• Assisting corporate directors, officers, and shareholders with their beneficial ownership reporting to the SEC; compliance with insider trading rules and resale of restricted securities under Rule 144. 

• Working with boards of directors and special board committees to implement best practices, address sensitive corporate and transactional issues, conduct internal investigations and formulate effective policies.