Capital Markets and Securities

Stevens & Lee’s capital markets lawyers have substantial experience representing publicly traded and private companies in the complete range of corporate and securities matters, including public offerings, follow-on-equity offerings, private placements and private investment in public equities (PIPE) transactions, shelf registrations of debt and equity securities, medium-term note programs, private debt and equity placements, Rule 144A/Reg S transactions, debt financings, and private equity investments and transactions. We also represent underwriters and placement agents in public and private equity and debt financings.

In addition, our experienced team of structured finance lawyers represents clients in complex securitization matters.

Our team advises corporate clients on a wide variety of U.S. securities laws and general corporate and regulatory matters, including compliance with and reporting under the Securities Act, the Securities Exchange Act and related statutes and the rules and regulations of self-regulatory organizations, including the NYSE, NASDAQ and FINRA.

In addition to assisting with the preparation of offering documents in public and private offerings, we assist companies in preparing periodic filings with the SEC, including Forms 10-K, 10-Q and 8-K, as well as proxy statement filings. We also represent public companies in dealings with the Securities and Exchange Commission, including responding to and resolving SEC comment letters and disclosure and accounting matters.

We counsel companies and their directors and officers on compliance with U.S. insider trading prohibitions, Regulation FD, Forms 3 and 4 reporting and short-swing profit rules. We also advise companies and their transfer agents on the disposition of restricted and control securities under SEC Rule 144 and implement Rule 10b5-1 trading plans for companies and insiders.

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