Securities

The firm represents U.S. and non-U.S. companies in a wide range of federal securities matters, including public and private offerings of equity and debt securities, pursuant to the requirements of the Securities Act of 1933; tender offers for equity and debt securities; registration, reporting and compliance matters pursuant to the requirements of the Securities Exchange Act of 1934; registrations of mutual funds and avoidance of registration under the Investment Company Act of 1940; broker-dealer and investment adviser matters, including compliance and registration issues; and matters under the Investment Advisers Act of 1940 and Trust Indenture Act of 1939.

Representative of our securities practice, the firm’s lawyers have been involved in recent years in the following matters: 

$450,000,000 Rule 144A debt offering to finance a hotel and related gaming casino;

$30,000,000 tender offer by an SEC registered issuer to acquire its outstanding Senior Notes; and

Initial public offering of 6,000,000 shares by a Korean corporation, which shares were listed on NASDAQ.

The firm’s lawyers have also been involved in the following significant "firsts":

SEC registered public offering of debt securities by a limited liability company, the first public offering of securities by an LLC;

Publicly offered debt securitization of a future revenue stream, backed by revenues from a large pool of residential and light commercial security system alarm monitoring contracts; and

Formation of a master limited partnership with a tender offer/roll-up of multiple limited partnership interests.