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 includes a wide range of transactional work combined with ongoing advice to over 50 public companies across a variety of industries, 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, including registered direct transactions and bought deals 
• private investment in public equity (PIPE) transactions
• venture capital and privately placed equity financings for emerging companies.

In the securities compliance arena, we help our clients:

• fulfill their ongoing obligations under the SEC's periodic reporting system 
• manage sensitive disclosure issues internally and with stock market participants 
• prepare proxy statements and handle stockholder meetings
• comply with the Sarbanes-Oxley Act of 2002 and other corporate governance requirements, including rules of the NASDAQ Stock Market and New York Stock Exchange
• structure employee benefit plans and executive compensation packages under the SEC's reporting and liability rules
• effect resales of securities in the public trading markets under the SEC's Rule 144
• advise boards of directors concerning the requirements and restrictions imposed on their actions by the securities laws.

Please click here for a pdf of our Securities Counsel brochure.

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