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Now more than ever, public and private companies require expert assistance to navigate increasingly complex securities regulations. Constantly changing federal and state securities laws and regulations, corporate governance rules, and capital markets and exchange listing demands, if not managed properly, all stand to impede your compliance status and financing strategies.

Dickinson Wright’s securities expertise runs deep. Our clients include public and private companies, underwriters, venture capital and private equity funds, and early stage startups. We represent numerous companies raising capital through SEC-registered and exempt debt and equity offerings. We also represent institutional investors, investment advisors, family offices and other market participants in executing investment transactions and in continuing compliance matters. From IPOs to routine periodic filings, from proxy statements to sensitive episodic disclosures, from internal investigations to sticky investor relations issues, we have the experience to efficiently serve your needs. Our securities expertise includes:

  • Assisting start-up businesses from the time of initial “seed” capitalization through each phase of venture financing and strategic exits, including registration statements for IPOs.
  • Preparing and reviewing SEC reports on Forms 10-K, 10-Q, and 8-K, and proxy statements for shareholder meetings.
  • Advising corporate directors, officers, and shareholders with regard to their beneficial ownership reporting requirements to the SEC; compliance with insider trading governance 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 compliance and governance policies.
  • Counseling corporate clients on a range of securities-related issues, including: issuer repurchases, self-tender offers, analyst meetings, press releases, Regulation FD, sensitive disclosure matters, insider trading policies and compliance and investor relations matters.
  • Representing private equity funds, venture capital funds, family offices, underwriters, business brokers, registered broker-dealers, registered investment advisers and other market participants in investment adviser and broker-dealer compliance matters.

We understand that legal cost containment and predictable pricing are important to maintaining your financial strength in the face of a complex regulatory regime. At Dickinson Wright, we have the requisite depth of experience in securities, finance, and corporate governance to provide innovative and cost-effective solutions that help our clients meet their budget objectives.

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