Securities Offerings & Compliance

Mintz Levin has a sophisticated and varied securities practice, representing public and private issuers, underwriters, stockholder groups, and individual investors. Our practice encompasses both a wide range of transactional work and ongoing advice to over 50 public companies, investment banking firms, venture capital investors, and institutional and individual stockholders on the panoply of regulations with which they must comply under the federal securities laws.

On the transactional side, we have extensive experience with both IPOs and follow-on public offerings of equity, debt, and other securities; corporate acquisitions involving registered and restricted stock; primary and secondary shelf registrations; private investment in public equity (PIPE) transactions; and venture capital and privately placed equity financings for emerging companies.

In the securities compliance arena, we assist our clients in fulfilling their ongoing obligations under the SEC's periodic reporting system; managing sensitive disclosure issues internally and with industry analysts; preparing proxy statements and handling stockholder meetings; structuring employee benefit plans and executive compensation packages under the SEC's "short-swing profit" reporting and liability rules; effecting resales of securities in the public trading markets under the SEC's Rule 144; and advising boards of directors concerning the requirements and restrictions imposed on their actions by the securities laws.

Our objective is to provide our clients with advice and representation that is both expert and practical. We strive to render first - rate legal services that solve problems and "get the deal done" at a reasonable cost.

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