We regularly advise our clients in matters relating to federal and state securities laws and regulations — whether in connection with private placements and other capital raising transactions, the issuance of equity-based compensation or other strategic business transactions. Our substantial experience in these areas allows us to effectively guide our clients through the intricacies of complying with these often complex regulations.
We advise and represent private companies in connection with the myriad issues surrounding the initial public offering process, and the related complexities involved in transitioning from a privately held company to a publicly traded company.
We begin to actively work with our private company clients long before the initial public offering to assist in the planning process, selection of underwriters and preparation of due diligence. We are actively engaged with the Board of Directors and the management team to provide strategic guidance with respect to executive and equity compensation issues, as well as corporate governance issues that come to the fore as a public company. Finally, we work with our clients to prepare the offering documents and guide them through the completion of the initial public offering.
Our engagement with our clients does not end once they have become publicly traded companies. We advise our publicly traded clients on both public and private financings and other securities compliance and regulatory issues facing the company and its officers, directors and major stockholders, including compliance with the Sarbanes-Oxley Act of 2002 and similar regulations. We are also able to provide our clients efficient on-going compliance advice and assistance with the preparation of SEC periodic reports, handling of disclosure issues, compliance with securities trading rules and other federal and state securities laws and regulations.